TD Waterhouse pays $2M in SEC settlement
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TD Waterhouse Investor Services Inc., a national brokerage firm, will pay $2 million to settle Security Exchange Commision claims it failed to disclosed fees paid to three advisers as a way to get more business.
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Blog: IBM and SEC reach settlement in stock options expensing disclosure case. No fines or monetary penalties for company.
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The auditor was the vice president of a company that received more than $1.2 million in payments.
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A federal judge approved a $2.575 billion settlement of a class-action lawsuit by WorldCom investors who claimed they were defrauded by Citigroup, the second-largest settlement ever in a securities fraud case.
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HARTFORD, Conn. -- An investment firm that was found in breach of contract in a lawsuit involving the state&#39;s pension fund has settled for $15 million, the two sides announced Monday.
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Top U.S. meat producer Tyson Foods Inc.   TSN.N will settle a federal dispute over hiring practices   with a payment of $1.5 million in back pay to 2,500 women and   minorities, the company and federal officials said on   Wednesday.
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Brokerage Jefferies &amp; Co. Inc. is paying some $9.7 million to settle regulators' charges that it illegally lavished nearly $2 million in golf trips, entertainment and other gifts on Fidelity mutual fund traders in exchange for their trading business.
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A group of insurance companies has reached a two-billion-dollar settlement with the developers of the World Trade Center over payouts related to the September 11 attacks, officials said Wednesday.
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A U.S. judge said on Thursday that Tyco International  owed severance pay and interest of about $1.2 million to a former senior executive accused of participating in an accounting scandal at the diversified manufacturer.
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Time Warner Inc. agreed yesterday to pay $210 million to settle criminal securities fraud charges brought by the Justice Department against the company's America Online unit. The media giant also is prepared to pay $300 million to end another probe by the Securities and Exchange Commission.
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Passengers cheated in price-fixing scam will receive $200m compensation after airlines agree settlement
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Chemicals maker to repurchase $2B of its shares.
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Boston Scientific agreed to pay $195 million to settle claims related to a potentially flawed defibrillator made by itâs subsidiary, Guidant.
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NEW YORK, Sept. 23 -- Investment banking firm Lehman Brothers Holdings Inc. is nearing an agreement to pay approximately $200 million to settle a shareholder lawsuit over its work for bankrupt energy trader Enron Corp., sources familiar with the case said.
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Blackstone Group issued compensation details for the first time on Monday, disclosing in a filing that its co-founders will receive at least $2.33 billion after part of the firm is taken public.
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Company says its chief executive reached a settlement with the SEC over allegations of securities violations in the trading of SINA stock.
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Citigroup Inc.  will pay $15.2 million to settle charges its brokers induced hundreds of BellSouth Corp. workers to retire early and open accounts that cost them much of their nest eggs, the NASD said on Wednesday.