A New York broker who participated in a scheme to profit from the death of terminally ill patients through variable annuity sales must return $768,000 in commissions, a U.S. Securities and Exchange Commission judge ruled on Wednesday.
A former board member of Chile's CFR Pharmaceuticals SA was charged Monday by U.S. regulators with insider trading on information regarding Abbott Laboratories’ $2.9 billion acquisition of CFR earlier this year.
The U.S. Securities and Exchange Commission moved on Monday to dismiss insider-trading proceedings against a man accused of illegally trading in Herbalife.
A former executive at a Chinese oil and gas company has avoided prison in the only U.S. criminal case to emerge from a broad accounting probe of China-based companies listed on American stock exchanges.
A TD Ameritrade Holding Corp employee who said the firm retaliated against him for complaining about potential securities law violations must arbitrate the claim instead of suing in court, a federal appeals court ruled on Monday.
Two former executives of a Wisconsin assisted living provider listed phony occupants to meet the company's leasing requirements, the U.S. Securities and Exchange Commission said.
A federal judge ordered Life Partners Holdings Inc and two top executives to pay $46.9 million for misleading investors about the core aspects of its business.
American Honda Finance Corp, the U.S. lending arm of carmaker Honda Motor Co Ltd, said on Tuesday that American law enforcement agencies are preparing to charge the finance company with discriminatory pricing of loans made through auto dealerships.
The U.S. Securities and Exchange Commission received more than 3,500 tips from whistleblowers in fiscal year 2014, the largest number received since the program went into effect three years ago.
Bank of America Corp is still trying to get a penalty waiver from the U.S. Securities and Exchange Commission over a $16.7 billion settlement involving bad mortgages, Bloomberg reported on Friday, citing two people familiar with the matter.
The U.S. Securities and Exchange Commission will ask a federal judge to more than double the money Texas businessman Sam Wyly must pay from $200 million to $455 million for his involvement in an offshore fraud scheme, a lawyer for Wyly said on Friday.
A former Ameriprise Financial Inc stockbroker previously accused by U.S. securities regulators of engaging in insider trading ahead of a 2010 merger by Pfizer Inc has pleaded guilty to conspiracy to commit securities fraud.
BATS Global Markets is close to settling a U.S. regulatory probe into Direct Edge's dealings with high-frequency trading firms for $15 million, the biggest fine ever given to an exchange operator, according to two sources familiar with the situation.
Construction equipment company Caterpillar Inc on Friday said the U.S. Securities and Exchange Commission is investigating how it accounted for its July 2011 purchase of Bucyrus International Inc.
The U.S. Securities and Exchange Commission is examining how private equity firms report a key metric of their past performance when they market new funds to investors, as the regulator boosts its scrutiny of the industry, according to people familiar with the matter.
U.S. regulators on Friday rejected a proposal from the NYSE Arca exchange to be able to list and trade actively managed exchange-traded funds that do not have to disclose their holdings on a daily basis.
A U.S. judge said Thursday she would order the assets of Texas entrepreneur Sam Wyly, who once made the Fortune 400 list, temporarily frozen after he filed for bankruptcy.
JPMorgan Chase & Co (JPM.N) executives in New York were aware of potential problems tied to its recruitment practices in China well before U.S. regulators launched a probe into the issue, the Wall Street Journal reported, citing sources and documents it reviewed.
Texas tycoon Sam Wyly has filed for bankruptcy, saying he does not have the assets to pay the nearly $300 million that U.S. regulators are demanding for his role in a fraudulent offshore scheme.
A Toronto man accused by the U.S. Securities and Exchange Commission of insider trading in Herbalife Ltd on Monday sued the federal regulator to stop it from pursuing its case.
