SEC Charges Brokerage Raymond James
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The U.S. Securities and Exchange  Commission on Thursday charged brokerage firm Raymond James  Financial Inc. RJF.N with fraud over the misconduct of a  former broker in 1999 and 2000.
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The chief executive of business  software services company Smart Online Inc , his  brother and four brokers were arrested on Tuesday and charged  with participating in a scheme to pump up the company&#39;s stock,  prosecutors said.
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The U.S. Securities and Exchange Commission said on Tuesday it has charged the former general counsel of KLA-Tencor Corp  and Juniper Networks Inc  with fraudulently backdating stock options.
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Faces fraud charges related to alleged backdating of stock options at the security specialist while it was known as Network Associates.
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Two big US brokers have agreed to pay fines of USD100m to the market&#39;s watchdog for hyping stock. They have agreed the fines with the Securities and Exchange Commission (SEC) for &quot;inappropriate analysis of stocks&quot;.
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LOS ANGELES - A former executive at mortgage lender Countrywide Financial Corp. was charged yesterday with insider trading after he sold stock before the company disclosed negative earning results three years ago, regulators said.
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Dow Jones & Co. Inc.  board member David Li, a prominent Hong Kong banker, may face civil charges in a U.S. Securities and Exchange Commission insider trading investigation linked to News Corp.'s  $5 billion bid for the U.S. media company.
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The US Securities and Exchange Commission has filed fraud charges against Canadian-born Conrad Black, the former chairman and CEO of Hollinger International, accusing him of &quot;cheating and defrauding shareholders.
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The U.S. Securities and  Exchange Commission plans to file civil charges against Dow  Jones & Co. Inc. board member David Li over an insider trading  investigation linked to News Corp.&#39;s $5 billion bid for the  media company, the Wall Street Journal reported.
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The accused include a Morgan Stanley compliance official, a UBS research executive and traders for hedge funds and brokerage firms.
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Prosecutors indicted a Korean bank and a Belgium-based holding company owned by Lone Star Funds, an American private equity group, on charges of stock price manipulation in connection with Lone StarÂs 2003 acquisition of the bank. Lone StarÂs vice chairman, Ellis Short, and its general counsel, Michael Thomson, already face charges of spreading false information to weaken the stock price of the Korea Exchange BankÂs credit card unit before it was bought by Lone Star. The new charges are against the bank and LSF-KEB Holdings, a paper company based in Brussels that Lone Star set up in 2003 to take over the bank, according to Chae Dong-wook, a senior prosecutor. Officials of the bank and other Lone Star officials declined to comment.
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The National Association of Securities Dealers on Wednesday charged American Funds Distributors Inc., a unit of The Capital Group Cos., with violating a rule by directing approximately &#36;100 million in kickbacks over three years to about 50 brokerage firms that were the top sellers of American Funds' mutual funds.
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Hartford Life, a unit of the Hartford Financial Services Group Inc., said Friday it is being investigated by the Securities and Exchange Commission for its use of "directed brokerage" in connection with its mutual funds.
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The Securities and Exchange Commission has sued JB Oxford Holdings Inc., a small brokerage and clearing company, and three of its executives for allegedly
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Former Canadian and UK media tycoon Conrad Black is charged with fraud by US regulators.
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The U.S. Securities and Exchange Commission plans to file civil charges against Dow Jones & Co Inc  board member David Li over an insider trading probe linked to News Corp's  bid for the media company, the Wall Street Journal reported on Wednesday.
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Sharpe James was indicted on charges of using misusing city credit cards and letting a companion buy municipal property for a fraction of its worth.