- Merrill paying $131.8M to settle SEC charges Updated: Dec-12-13 2:39 pm
- Barnes & Noble shares fall on SEC probe Updated: Dec-06-13 1:58 pm
- SEC complaint contends pair operated Ponzi scheme Updated: Dec-06-13 12:17 pm
- J.C. Penney facing SEC inquiry on finances Updated: Dec-05-13 8:10 pm
- Ohio-based Fifth Third to pay $6.5M in SEC case Updated: Dec-04-13 5:18 pm
- Oilfield company to pay $253M to settle bribe case Updated: Nov-26-13 1:06 pm
- Uni-Pixel shares slide on notice of SEC subpoena Updated: Nov-22-13 6:11 pm
- Records show NY interest from company tied to Cox Updated: Nov-21-13 3:55 pm
- SEC worker accused of lying about his own stocks Updated: Nov-19-13 2:52 pm
- JPMorgan Chase reaches $4.5B deal with investors Updated: Nov-15-13 6:28 pm
- State lawmaker seeks SEC probe of RI pension Updated: Nov-14-13 7:37 am
WASHINGTON - Merrill Lynch has agreed to pay $131.8 million to settle U.S. civil charges that it misled investors about risky mortgage bonds it sold ahead of the 2008 financial crisis.
Shares of Barnes & Noble fell on Friday after the bookseller said it was cooperating in a Securities and Exchange Commission investigation into its accounting.
AUSTIN, Texas - Federal prosecutors say two people have been charged with operating a Central Texas-based Ponzi scheme that raised nearly $18 million purportedly for investments in oil and gas interests.
J.C. Penney says the SEC is looking into its liquidity, debt and other financial matters.
CINCINNATI - A federal agency said Wednesday that Fifth Third Bancorp will pay $6.5 million to settle charges of improper accounting of commercial real estate loans during the financial crisis.
WASHINGTON - The oilfield services company Weatherford International has agreed to pay more than $250 million to settle federal charges that it bribed officials in the Middle East and Africa to win business.
WASHINGTON - Shares of Uni-Pixel plunged in after-hours trading Friday after the electronic film company disclosed that federal financial regulators had issued subpoenas related to its InTouch Sensors technology.
ALBANY, New York - Documents show a gas drilling company tied to state Republican Party Chairman Ed Cox is authorized to do business in New York and is concerned about opposition here to the practice of hydraulic fracturing, although the company said it has no plans to use the technique in New York.
NEW YORK - A Securities and Exchange Commission employee responsible for ensuring others comply with the nation's securities laws was arrested Tuesday on charges that he made false statements to the agency about stocks he owned.
JPMorgan Chase & Co. has reached a $4.5 billion settlement with investors who said the bank deceived them about bad mortgage investments.
PROVIDENCE, Rhode Island - A state senator has asked federal securities regulators to investigate complaints raised in a public-sector union report about Rhode Island General Treasurer Gina Raimondo.