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Archived Latest Securities News Articles Page: 6
U.S. to charge ex-Suisse traders on subprimes-sources
February 1, 2012 @ 7:01 am
   U.S. authorities are preparing to charge four former Credit Suisse employees with criminal and civil fraud related to write-downs on subprime mortgage derivatives at the height of the financial crisis....
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U.S. says Credit Suisse traders falsified subprime books
February 1, 2012 @ 7:01 am
   David Higgs is cooperating with a U.S. government investigation on writedowns of subprime mortgage derivatives at the height of the financial crisis....
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SEC probes JDA Software accounting practices
February 1, 2012 @ 7:01 am
   JDA Software said it received a notice from U.S. regulators seeking information about the way it recognizes revenue and some other accounting practices....
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Skepticism rises around SEC fiduciary rule
February 1, 2012 @ 7:01 am
   Financial industry observers are increasingly skeptical that the Securities and Exchange Commission's planned proposal to require a uniform fiduciary standard for all financial advisers will become a reality this year, if ever....
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MF Global risk chief called euro bets 'acceptable'
February 1, 2012 @ 6:46 am
   Michael Stockman plans to testify that "market conditions" allowed for aggressive bets on European debt in 2011 but that he eventually raised concerns about the firm's aggressiveness....
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Probe sought into Morgan Stanley mortgage bonds
February 1, 2012 @ 6:45 am
   Institutional investors are requesting investigations into toxic mortgages in pools of residential mortgage-backed securities issued by affiliates of Morgan Stanley....
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Court finds AmEx arbitration clause unenforceable(2)
February 1, 2012 @ 4:47 am
   American Express cannot use a clause in contracts with its merchant customers to force them to arbitrate a dispute over charge-card fees instead of banding together in an antitrust lawsuit, a federal court of appeals ruled on Wednesday....
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Koss pact with SEC to win judge OK despite concern
February 1, 2012 @ 4:11 am
   U.S. Judge Rudolph Randa had challenged the accord, noting the recent rejection by Judge Jed Rakoff of a $285 mln settlement of SEC fraud charges against Citigroup....
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Timeline: Ex-Credit Suisse traders charged
February 1, 2012 @ 4:02 am
   U.S. authorities have accused a group of former Credit Suisse Group traders of falsely inflating the value of mortgage-backed securities. Here is a timeline of key events....
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GOP rep wants to kill the 'death tax'
February 1, 2012 @ 4:01 am
   Rep. Tim Huelskamp from Kansas has proposed a bill that would permanently repeal the estate tax ; Finra warns advisers about risky investments, while the SEC urges responsibility when using social media....
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Schwab new client-waiver spurs FINRA complaint
February 1, 2012 @ 3:30 am
   The regulator accused the online brokerage of requiring customers to waive their rights to pursue class actions against the firm, a violation of its rules....
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Schwab client-waiver spurs FINRA complaint
February 1, 2012 @ 3:30 am
   The regulator accused the online brokerage of requiring customers to waive their rights to pursue class actions against the firm, a violation of its rules....
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Stanford used CD funds for cricket, jets-witness
February 1, 2012 @ 1:40 am
   Allen Stanford funneled $2 bln of investor money to his other companies, a former Stanford Financial Group accountant testified....
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MF Global judge: No Chapter 7 liquidation
February 1, 2012 @ 1:25 am
   Judge Martin Glenn rejected requests to liquidate the parent under a law that could have allowed commodity customers to be repaid first....
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SEC advisory panel concerned about crowdfunding
February 1, 2012 @ 1:05 am
   The Advisory Committee on Small and Emerging Companies said it needed more time to study crowdfunding, a practice it said could lead to "fraud in the extreme."...
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