SEC Files Charges in Wall Street Insider Trading Scheme
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Federal prosecutors today unsealed criminal charges against more than a dozen people -- including former executives at three of Wall Street's elite investment banks and traders at prominent hedge funds -- for engaging in thousands of improper trades in a pair of wide-ranging schemes.
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U.S. regulators filed fraud charges on Monday against former Hollinger International Inc.  Chairman Conrad Black and his deputy, David Radler, moving to bar the two from serving as officers of a public company.
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Black was charged with fraud yesterday by the US Securities and Exchange Commission (SEC), accusing him of using the company as, what they termed, his personal piggy bank.
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NEW YORK (CBS.MW) -- The Securities and Exchange Commission is considering charging American International Group for violating federal securities laws, the insurer said Tuesday.
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Federal prosecutors charged a high-level investment banker in Pakistan with earning illegal profit from an insider-trading scheme.
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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 helping customers from as far away as Switzerland improperly trade fund shares.
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U.S. securities regulators on  Thursday charged brokerage Raymond James Financial Inc. RJF.N  with fraud over misconduct by a former broker charged with  misappropriating about $8.7 million in investor funds.
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Federal authorities exposed one of the most far-reaching insider trading schemes on Wall Street in decades.
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The NASD yesterday lodged fraud charges against H&R Block Financial Advisors Inc. for selling $16.4 million of Enron Corp. bonds to investors without warning of risks, shortly before the energy trading company filed for bankruptcy protection.
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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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Securities regulators notified a Dow Jones board member that he could face civil charges for his alleged role in passing secret information before the company announced a bid from Rupert Murdoch's News Corp., according to a source familiar with the investigation.
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WASHINGTON, Sept. 26  Â The New York Stock ExchangeÂs regulatory unit said Tuesday that it expected to refer 140 potential insider trading cases to the Securities and Exchange Commission this year, up 26 percent from 2005.
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US securities officials charged the disgraced former press baron, Conrad Black and his former deputy, David Radler, with securities fraud in connection with alleged wrongdoing at Hollinger International.
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A New York stockbroker was indicted on  Friday on charges of stealing more than $4.1 million from three  Wall Street firms, prosecutors said.
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Federal prosecutors unsealed indictments yesterday of three Indian nationals who allegedly used stolen passwords to hijack the online brokerage accounts of scores of U.S. investors, a scheme that resulted in more than $2 million in losses, authorities said.
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Federal prosecutors charged a New York  hedge fund manager on Thursday with securities fraud, accusing  him of cheating investors out of millions of dollars by  overstating the fund's value.
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Separate actions target penny stock promoters and hackers who allegedly broke into stock trading accounts.