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U.S. fund company to settle market timing and late trading violations, SEC says

The U.S. Securities and Exchange Commission today announced that yet another fund company will settle market timing and late trading charges. The SEC reported that Fred Alger Management Inc. and Fred Alger & Company Inc. will pay US$40 million to settle the commission’s charges that the companies allowed market timing and late trading in the […]

NY state resolves market timing issues with Deutsche Bank

Firm adopts business reforms in US$208 million settlement

Hedge fund managers sued for fraud in mutual fund market timing

Defendants secretly “piggy-backed” trades to evade detection by mutual funds, NY attorney general alleges

NASD fines hedge fund manager US$2.25 million

Fine is largest ever imposed by NASD against an individual for market timing

U.S. regulators settle US$600 million case with Prudential Equity Group

SEC also files unsettled civil injunctive action against several former Prudential registered reps

Waddell & Reed to pay US$50 million in investor restitution

Firm settles marketing timing charges with U.S. regulators

NASD charges A.B. Watley and two former brokers

Alleges facilitation of mutual fund late trading and market timing for hedge funds

Bear Stearns fined US$250 million for market timing

Firm settles with SEC, NYSE

NASD settles with U.S. over market timing charges

Diversified Investors fined US$1.3 million

U.S. executives barred for market timing

SEC alleges National Clearing officers deceived fund companies