On-line newspaper and magazine articles, press releases etc.
PBHG Funds and Pilgrim Baxter Charged With Fraud
SEC charges the founders with fraud in connection with market timing of the Funds.
SEC Charges Former CIBC Managing Director With Fraud
Paul A. Flynn charged with providing financing to hedge funds he knew were engaged in unlawful market timing and late trading of mutual funds.
SEC Charges Gateway with Fraudulent Earnings Manipulation Scheme
The company gave the false and misleading impression that it was outpacing an industry trend of decreasing sales of personal computers.
SEC Charges Security Trust in Trading Schemes
Company facilitated fraudulent mutual fund late trading and market timing schemes,
KFC’s Claims That Fried Chicken Is a Way to “Eat Better” Don’t Fly
Kentucky Fried Chicken settles FTC charges that it made false claims about fried chicken’s nutritional value and compatibility with popular weight-loss programs. [FTC] (June 03, 2004)
Tower Records' Security Flaw Exposed Customers’ Personal Information
MTS and Tower Direct settled Federal Trade Commission charges of exposing customers’ personal information to other internet users, in violation of federal law. [FTC] (April 21, 2004)
Mutual Fund Manager MFS Settles with SEC
Massachusetts Financial Services Company (MFS) allegedly used brokerage commissions on mutual fund transactions to illegally pay for their marketing and distribution. [SEC] (March 31, 2004)
Settlement Reached With Five Specialist Firms
They allegedly violated Federal Securities Laws and NYSE Regulations by executing orders for their dealer accounts ahead of executable public customer or "agency" orders. [SEC] (March 30, 2004)
CAMCO Settles FTC Charges
FTC had alleged that CAMCO and its subsidiaries indulged in abusive and deceptive collection practices violating federal law. [FTC] (March 24, 2004)
FTC Charges QVC Home Shopping Channel With Making Deceptive Claims
DOJ sues QVC for unsubstantiated claims for Lite Bites weight-loss products and Bee-Alive royal jelly dietary supplements. Also alleges same for Lipofactor Cellulite Target Lotion. {FTC] (March 24, 2004)
SEC Charges CMS Energy Corp. with Fraud in Round-Trip Energy Trades
According to SEC, CMS arranged "massive pre-arranged trades that, despite lacking economic substance, grossly inflated CMS's reported revenues." [SEC] (March 17, 2004)
SEC to Settle Charges Against Bank of America for Market Timing and Late Trading
SEC had charged that the BoA's Capital Management and Securities subsidiaries facilitated market timing and late trading by Canary hedge fund and others. [SEC] (March 15, 2004)
SEC's Agreement to Settle Civil Fraud Charges Against Fleet for Undisclosed Market Timing
SEC had charged that Fleet's subsidiaries Columbia Management Advisors and Columbia Funds Distributors allowed certain preferred mutual fund customers to engage in short-term and excessive trading. [SEC] (March 15, 2004)
SEC Files Civil Fraud Case Against Fleet for Market Timing Arrangements
It charged that FleetBoston's Columbia Management Advisors and Columbia Funds Distributor allowed certain customers to engage in short-term and excessive trading, while prohibiting others. [SEC} (February 24, 2004)
KPMG 'obstructed US tax inquiry'
The US Justice Department accuses accountancy firm KPMG of obstructing an IRS investigation into tax shelters. [BBC] (December 13, 2003)
SEC Charges Martha Stewart, Broker Peter Bacanovic with Illegal Insider Trading
Complaint alleges that Stewart committed illegal insider trading when she sold stock of ImClone Systems after receiving an unlawful tip from Bacanovic and subsequently both lied during investigation.[SEC] (June 04, 2003)
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September 11, 2012 at 11:57:03 UTC
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