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Investigations subtopic

Articles 1-100 out of 100 article(s) Title Author Type Date Words United States : Bank of America (NSE: BAC) Executive Under Scrutiny Relating to Merrill Lynch Takeover. Dec 9, 2009 426 SEC Closes Investigation into iBasis Stock Option Granting Practice; No Enforcement Action Recommended. Nov 17, 2009 271 SEC Starts Pension Fund Group To Prosecute For "Pay To Play". Oct 25, 2009 450 Probe on Cadbury comments. Sep 25, 2009 159 Wolf Haldenstein Announces Investigation into Maxam Absolute Return Fund LP. Sep 23, 2009 238 When Success Raises Suspicions: The SEC's Risk-Based Investigation Of General Electric's Accounting Practices. Sep 8, 2009 1291 Stanley, Mandel & Iola, L.L.P., and Wolf Haldenstein Adler Freeman & Herz LLP Update ETF Investigation. Aug 18, 2009 87 SEC Enforcement Staff Gains Subpoena Power (And Other Evolutions In The Division's Authority and Responsiveness). Badway, Ernest E.; Dailey, William M.; Horn, Joshua; Pastore, Joseph M., III Aug 11, 2009 1292 BofA settles Merrill bonus case with SEC for $33 mln. Aug 4, 2009 480 India: US SEC begins Satyam probe in India. Jul 24, 2009 160 West Marine Announces Settlement of SEC Investigation - No Penalties Assessed. Jul 23, 2009 548 The Madoff scandal. Jul 21, 2009 421 US launches swaps probe. Jul 14, 2009 118 SEC Completes Fairfax Investigation. Jun 25, 2009 142 CellCyte agrees to settle SEC investigation. May 19, 2009 357 SEC lawyers probed for insider trading. May 15, 2009 163 SEC accuses Californian of fraud; state investigating. Henry, John Mar 9, 2009 431 'Rogue trader' inquiry over losses of [pounds sterling]85m. Mar 7, 2009 567 'Rogue trader' inquiry over losses of [pounds sterling]85m. Mar 7, 2009 557 'Rogue trader' inquiry over losses of [pounds sterling]85m. Mar 7, 2009 567 'Rogue trader' inquiry over losses of [pounds sterling]85m. Mar 7, 2009 545 Bank probe into London operation; BRITAIN. Mar 7, 2009 173 Bank trading probe. Mar 7, 2009 66 Investment bank probe. Mar 7, 2009 72 BRITAIN TODAY: Probe at Merrill; FINANCE. Mar 7, 2009 52 Merrill Lynch investigating an 'irregularity'. Mar 7, 2009 332 London trader is probed on [pounds sterling]84million 'gamble'. Mar 6, 2009 375 Merrill probe into trading 'irregularities'. Mar 6, 2009 146 Probe into bonuses for Merrill bosses. Mar 5, 2009 143 Murray, Frank & Sailer LLP and Hahn Rechtsanwaelte Partnerschaft Form "Task Force" to Investigate Claims on Behalf of Investors Relating to Madoff's Billion Dollar Ponzi Scheme. Feb 17, 2009 397 AIG group at centre of fraud inquiry; THE RECESSION. Feb 13, 2009 198 AIG Will Cooperate Fully with UK Investigation into AIG Financial Products. Feb 12, 2009 195 India : Satyam Said to Draw SEC Scrutiny in $1 Billion Accounting Case. Jan 21, 2009 591 CellCyte runs out of cash, closes; Fails to pay rent; From soaring profits to shareholder lawsuits to SEC probe for biotech. Dec 24, 2008 351 Berman DeValerio Investigates Recovery Options for Indirect Investors in Madoff Fund. Dec 19, 2008 385 National Lampoon, Inc. Announces Charges Relating to SEC Investigation. Dec 17, 2008 358 Jabil Announces the Completion of SEC Stock Option Inquiry. Nov 25, 2008 306 Lehman exec defends big bonuses; Fuld was paid $350M before bankruptcy; His actions criticized at congressional hearing. Oct 7, 2008 596 FBI 'PROBE FIRMS'. Sep 25, 2008 47 FBI probe of finance companies reported; Looking at potential fraud, officials say; Including Fannie Mae, Freddie Mac, AIG; Close Up. Sep 24, 2008 567 Hong Kong: HK regulator launches probe. Sep 24, 2008 204 FBI probe into US mortgage dealers. Sep 24, 2008 368 Beazer Homes Announces SEC Settlement. Sep 24, 2008 814 Wall Street conspirators face criminal investigation. Sep 20, 2008 248 Stember Feinstein Doyle & Payne, LLC Announces Its Investigation Relating to the Morgan Keegan Savings Plan. Sep 9, 2008 343 United States: Merrill, Goldman, Deutsche to Settle Auction Probes. Aug 23, 2008 269 NYSE Regulation and FINRA Announce Agreement With Ten U.S. Exchanges to Strengthen Surveillance, Investigation, and Enforcement to Prevent Insider Trading. Aug 13, 2008 638 FINRA and NYSE Regulation Announce Agreement with Ten U.S. Exchanges to Strengthen Surveillance, Investigation and Enforcement to Prevent Insider Trading. Aug 13, 2008 653 Auction-rate securities probe grows; Cuomo delves further into market's collapse; Wachovia, Morgan Stanley and JPMorgan Chase notified. Aug 12, 2008 499 Samson Oil & Gas Requests Amex to Investigate ADR Trading. Jul 17, 2008 126 TOP WALL STREET NAMES IN PROBE. Jul 16, 2008 99 QualityStocks.net News: SEC Terminates Investigation of Axial Vector Energy and Former Chairman Samuel Higgins; No Enforcement Action Recommended. Jul 15, 2008 490 SEC aims to halt spread of false market rumors; Investigation opens; Securities prices can be manipulated by untruths; Close Up. Jul 14, 2008 280 Chile: SISS investigating Saesa purchase by OTTP-led consortium. Jun 21, 2008 277 ONN Reports That SEC Investigation into American International Group Causing Spike in Options Volatility. Jun 6, 2008 348 Cayman Courts Take Control, Replace Liquidators. Jun 2, 2008 550 Analog Devices Announces Conclusion and Final Settlement of SEC Option Investigation. May 30, 2008 383 AETE Discloses SEC Investigation. Apr 16, 2008 272 Stember Feinstein Doyle & Payne, LLC Announces Its Investigation Relating to the Regions Financial 401(k) Plan and Morgan Keegan Savings Plan. Apr 7, 2008 336 Stember Feinstein Doyle & Payne, LLC Announces Its Investigation Relating to the Bear Stearns Employee Stock Ownership Plan, Profit Sharing Plan and Deferred Compensation Plan. Mar 14, 2008 345 Girard Gibbs LLP Investigates Possible Securities Laws Violations In Connection With the Sale of Auction Rate Securities. Mar 7, 2008 263 Stember Feinstein Doyle & Payne, LLC Announces Its Investigation Relating to the Regions Financial 401(k) Plan and Morgan Keegan Savings Plan. Feb 21, 2008 344 FBI targets 14 firms in subprime probe; Fraud fears: the FBI probe began last spring as the subprime market started to sour. Jan 30, 2008 316 Wall St firms 'in divi tax probe'. Jan 15, 2008 143 Milberg Weiss Announces Its Investigation Relating to the Morgan Stanley 401(k) Plan and the Morgan Stanley Employee Stock Ownership Plan. Dec 19, 2007 347 Banks in Cuomo probe. Dec 6, 2007 72 Milberg Weiss Announces Its Investigation Relating to the Merrill Lynch & Co., Inc. 401(k) Savings and Investment Plan, Retirement Accumulation Plan and Employee Stock Ownership Plan -- MER. Nov 29, 2007 272 Cohen Milstein Investigates Potential ERISA Violations by Merrill Lynch. Nov 7, 2007 418 SEC Terminates Informal Investigation. Oct 29, 2007 410 SEC Completes Investigation of Hansen Natural. Aug 7, 2007 469 Metretek Technologies Announces Termination of SEC Inquiry. Jun 28, 2007 260 HP Settles SEC Investigation Into Disclosure of Former Director's Resignation. May 23, 2007 469 Dyadic Updates Progress of Its Independent Investigation. May 21, 2007 970 First Montauk Moves to Vacate Settlement with Edward H. Okun and Affiliates; Cites Criminal Investigation of Okun Holdings and Bankruptcy Filing of Okun's 1031 Tax Group. May 18, 2007 744 SEC Terminates Investigation of Gradient Analytics, Says No Enforcement Action Recommended. Feb 14, 2007 447 US watchdog probes 'leaks to big customers' by banks. Feb 6, 2007 106 Securities investigations revealed: internal auditors can help demystify the SEC investigatory process for publicly listed companies. Olach, Tom Feb 1, 2007 1982 Whitney Information Network, Inc. Receives Notice of SEC Investigation. Nov 21, 2006 150 UBS probed over claims of bond price'manipulation'. Oct 30, 2006 129 GlobeTel Announces SEC, Audit Committee Investigations, AMEX Delisting Decision. Oct 6, 2006 294 Capital Institutional Services (CAPIS) Adds Telecomm Research Firm Probe Financial Associates to its Network of Independent Analysts. Sep 28, 2006 436 Prudential Equity Group, LLC Settlement in Market Timing Investigations. Aug 28, 2006 376 How two firms tackled scrutiny of their stock options. Berry, Kate Aug 28, 2006 1136 Osc Issues List of "Top Ten" Deficiencies of Limited Market Dealers. Aug 9, 2006 1915 What to Do When the Sheriff Comes Calling-Nine Steps in Responding to SEC Enforcement Calls. Jul 7, 2006 1202 Hedge-fund regulation dealt setback; Appeals court ruling; SEC failed to make compelling case, panel decides. Jun 24, 2006 719 Senior SEC Enforcement Official Joins Kroll's San Francisco Office. May 1, 2006 275 Abrupt shifts in manufacturer's shares catch eye of NYSE. Roberts, Allen P., Jr. Brief article Apr 17, 2006 319 SEC Investigates Hedge Fund Bond Positions. Mar 30, 2006 682 SEC enforcement division: 'ratcheting up'. Heffes, Ellen M. Apr 1, 2005 2150 Mutual matter. Brief Article Dec 6, 2004 265 Oxford sale. Brief Article Aug 23, 2004 65 InVision discloses internal investigation to SEC and Justice Department. Brief Article Jul 31, 2004 147 "Wildcatting" for Fraud: A New Investigative Approach by SEC Enforcement? May 4, 2004 1817 Again, JB Oxford finds itself caught up in market scandal. Berry, Kate Nov 17, 2003 837 SEC and NASD Investigate Late Trading and Market Timing in Funds - SEC Requests Information on Funds' Foreign Securities Valuation Practices. Sep 24, 2003 1655 Federal and State Enforcement Bodies Investigate Market Timing and Late Trading in Mutual Fund Shares. Sep 10, 2003 1710 Texas state securities board. Brief Article Sep 1, 2003 59 SEC Reviewing Valuation Policies In Recent Inspections Of Hedge Fund Managers. Oct 18, 2002 747 SEC Proposes Modernization Of Investment Adviser Custody Rule. Oct 18, 2002 746