SEC Orders Andersen to Pay $162,691
- Former Pru Broker Getting Hit with Hefty $873K Fine. // Money Management Executive;9/24/2007, Vol. 15 Issue 36, p1
The article reports that former Prudential Securities Inc. broker Justin Ficken has been charged by the U.S. Securities and Exchange Commission (SEC) to pay an $872,647.00 penalty for extensive improper mutual fund trading. Gary Pelletier, lawyer of Ficken, expresses his disbelief to this huge...
- Six B/Ds in Breakpoint Deal; To Pay Fines, Reimburse. Ackerman, Matt // Money Management Executive;2/9/2004, Vol. 12 Issue 6, p4
Presents a news update on six financial services companies agreeing to settle SEC allegations regarding their brokers' inability to give out mutual fund discounts as promised. Talks with regulators to reach an agreement; Failure of brokers in giving breakpoint discounts on commissions in...
- SEC Ends Nasdaq Probe With a Bang. // On Wall Street;Feb99, Vol. 9 Issue 2, p20
Cites the move of the United States Securities and Exchange (SEC) Commission to impose fines on broker/dealers. Total fines collected by SEC; Amount of fine imposed on PaineWebber; Suspension of individuals who were alleged of trading violations on the Nasdaq Stock Market.
- SEC Fines Wolfe & Hurst, Bars Former Broker for a Year. Hume, Lynn // Bond Buyer;5/14/2009, Vol. 368 Issue 33115, p6
The article reports on the move of the U.S. Securities and Exchange Commission (SEC) to ban former broker Peter J. Debany and Wolfe and Hurst Bond Brokers in the securities industry for at least one-year for manipulating bids-wanted auctions for municipal bonds. It states that the firm and...
- SEC Charges Royal Bank of Scotland Subsidiary. // Pratt's Letter;11/18/2013, p3
The article reports on charges imposed by the U.S. Securities and Exchange Commission (SEC) to the Royal Bank of Scotland PLC's subsidiary RBS Securities Inc. for misleading investors in a 2007 subprime residential mortgage-backed security (RMBS) offering.
- FSC Fined For Sales In Satellite Branch. Longo, Tracey // Financial Planning;Feb99, Vol. 29 Issue 2, p23
Reports that the United States Securities and Exchange Commission (SEC) has censured and fined FSC Securities of Atlanta in December 1998. FSC's settlement of the charges; Allegations against FSC; Other proceedings and cease-and-desist orders of the SEC.
- TRADERS IN CHINA AND HONG KONG PAYING US$920,000 TO SETTLE INSIDER TRADING CASE. // CFO Innovation Asia;1/8/2016, p7
The article reports that traders in China and Hong Kong Zhichen Zhou and Yannan Liu have agreed to pay more than 920,000 U.S. dollars to settling an insider trading case filed against them by the U.S. Securities and Exchange Commission.
- SEC Sets Framework for Imposing Financial Penalties on Corporations. // Venulex Legal Summaries;2006 Q1, p1
The article focuses on a framework set by the U.S. Securities and Exchange Commission (SEC) for imposing financial penalties on corporations settling enforcement actions. The principal factors that the SEC weighs when determining whether to impose a financial penalty are the presence or absence...
- BellSouth pays SEC fines related to Telcel, Telefonia Celular. // RCR Wireless News;1/21/2002, Vol. 21 Issue 3, p24
Focuses on the decision of BellSouth Corp. to pay United States Securities and Exchange Commission fines related to complaints against Tellcel and Telefonia Cellular. Amout of fines to be paid by the company; Actions taken to raise money to pay for the fines.