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Settlements - Securities

  • UnitedHealth Group Former Chief Executive to Pay $30 Million in Options Settlement (Sep-10-08)
  • US Auto Parts Network $10 Million Class Action Settlement Proposed (Sep-2-08)
  • Xethanol Corp $2.8 Million Class Action Settlement Proposed (Aug-26-08)
  • $16 Billion Auction-Rate Securities Buy Back Settlement with New York State (Aug-19-08)
  • Qwest Communications Settles Securities Fraud for $40 Million (Aug-8-08)
  • San Diego Attorneys Settle with City for $2.3 Million (Jul-30-08)
  • Enron Ex CEO Lou Pai to Pay $31.5 Million Settlement (Jul-30-08)
  • US Auto Meeting Notification Regarding $10 Million Class Action Settlement. (Jul-9-08)
  • Coca-Cola Co. has agreed to pay $137.5 million to settle a securities lawsuit claiming the company artificially inflated sales to boost its stock price. (Jul-7-08)
  • UnitedHealth Group Pays $895 Million in CalPers Class Action (Jul-7-08)
  • Brooks Securities Class Action Settlement (Jun-26-08)
  • Point Blank Solutions Multi Million Dollar Securities Settlement (Jun-26-08)
  • Cablevision Systems Corp. $34.4 million settlement reached in options back-dating lawsuit. (Jun-12-08)
  • Brent Lemons $1.3 million settlement in securities fraud lawsuit. (Jun-4-08)
  • Rothschild Investment $28,000 settlement reached in securities lawsuit. (May-30-08)
  • Stock Option Grants Marvell to pay $10 million settlement in securities lawsuit. (May-12-08)
  • Auction Rate Securities UBS to pay $35 million settlement in financial lawsuit.. (May-8-08)
  • Stock Options Backdating Apollo agrees to $2.75 million settlement in securities lawsuit. (May-5-08)
  • Securities Fraud Marketing company to pay $12 million settlement in SEC lawsuit. (May-3-08)
  • Fraud Allegations Former Nortel VPs to pay $381,512 settlement in securities lawsuit. (May-2-08)
  • Securities Fraud Tyco to pay $73 million settlement in investment lawsuit. (May-2-08)
  • Insider Trading Banker and son to pay $70,000 settlement in securities lawsuit. (May-1-08)
  • Market Timing Gabelli Funds to pay $16 million settlement in mutual fund lawsuit. (Apr-25-08)
  • Backdated Stock Options Broadcom to pay $12 million settlement in securities lawsuit. (Apr-24-08)
  • Unauthorized Trading Alaron to pay $299,295 settlement in commodities lawsuit. (Apr-23-08)
  • Tyco Split Costly Tyco agrees to pay $250 million settlement in bondholder's lawsuit. (Apr-14-08)
  • Questionable Practices KV Pharmaceutical agrees to $12 million settlement in stock option lawsuit. (Apr-10-08)
  • Forgery Violations Ameriprise to pay nearly $4 million settlement in securities lawsuit. (Apr-10-08)
  • Commodity Futures Scam Investment schemers to pay $13 million settlement in trading lawsuit. (Apr-9-08)
  • Investment Advice Fraud Investor to pay $5 million settlement in fund management lawsuit. (Apr-2-08)
  • Insider Trading Tranz Rail to pay $17 million settlement in securities lawsuit. (Apr-1-08)
  • Accounting Inaccuracies Biovail to pay $10 million settlement in fraud lawsuit. (Mar-25-08)
  • Investment Scheme Investors to benefit from $4 million settlement in fraud lawsuit. (Mar-20-08)
  • Futures Trading Energy company to pay $10 million settlement in commodities lawsuit. (Mar-20-08)
  • Network Deception Ex cable execs pay $1.6 million settlement in fraud lawsuit. (Mar-13-08)
  • Executive Grants Sigma Designs pays undisclosed settlement to shareholders. (Mar-11-08)
  • Trading Fraud Former stock trader to pay $55,000 in CFTC settlement. (Mar-8-08)
  • Illegal Courting Fidelity Investments to settle $8 million lawsuit. (Mar-6-08)
  • Options Backdating Former Broadcom executive settles $1.3 million stock option backdating lawsuit. (Mar-5-08)
  • Proxy Statement Applebee's International Inc. pays $358,000 shareholder settlement for omitting financial information. (Mar-3-08)
  • Accounting Mistakes PriceWaterhouseCoopers agrees to pay $30 million settlement for its role in Metropolitan Mortgage and Securities' downfall. (Mar-3-08)
  • Investor Fraud Company president and director Gregory William Rivers to pay $10,000 shareholder fraud settlement. (Feb-21-08)
  • Mutual Fund Shares Ritchie Multi-Strategy Global Trading and Ritchie Capital Management pay nearly $40 million SEC trading settlement. (Feb-6-08)
  • Unauthorized Investments Merrill Lynch & Co. pays city of Springfield $13.9 million securities settlement. (Feb-3-08)
  • Bond Funds Heartland Advisors Inc. agrees to $3.9 million shareholder settlement. (Jan-31-08)
  • Chaparrel Investors OAO Lukoil agrees to $37.6 million shareholders settlement. (Jan-28-08)
  • Takeover Insider Trading Former Dow Jones board member pays $8 million securities fraud SEC settlement. (Jan-28-08)
  • Monster Stock Options CEO Andrew McKelvey ordered to pay $276,000 SEC settlement for backdating employee stock options. (Jan-24-08)
  • COO Insider Trading Silicon Valley entrepreneur pays $3 million insider trading settlement to SEC. (Jan-23-08)
  • AST Shares Calgon Carbon awarded $9.25 million settlement after purchasing common stock of Advanced Separation Technologies Incorporated. (Jan-22-08)
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