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Settlements - Securities

  • Morgan Stanley & Company Inc. $8 million settlement in federal fraud lawsuit. (May-14-07)
  • Motorola $25 million accounting settlement with SEC. (May-10-07)
  • Zurich Capital Markets $16.8 million payout in fines, interest and profit for market timing securities fraud. (May-9-07)
  • Coventree Inc. Shareholders lawsuit to cost company $3.5 million. (May-9-07)
  • A.G. Edwards $3.86 million settlement in securities market timing lawsuit. (May-6-07)
  • Edward Federman $2.65 million payout for sham financial transactions. (May-3-07)
  • Allied Holdings Inc. Over $525,000 payout in fees over a $196.9 million claims securities lawsuit. (May-1-07)
  • Richard Scrushy $81 million individual settlement in HealthSouth accounting fraud suit. (Apr-25-07)
  • Vonage CEO Jeffrey Citron $22.5 million settlement in securities fraud and SEC violations lawsuit. (Apr-20-07)
  • Aramark Corp. $222 million settlement in shareholder lawsuit. (Apr-19-07)
  • Juan Carlos Peralta $1 million settlement for insider trading. (Apr-4-07)
  • Beacon Rock Capital $475,000 fine for securities market-timing. (Mar-30-07)
  • Veras Capital Master Fund et al $38 million settlement for a fraudulent market timing and late trading scheme. (Mar-26-07)
  • Molex Inc. $500,000 as civil penalty in misdating of stock option grants. (Mar-21-07)
  • David Radler $60 million paid to SEC to end securities fraud lawsuit. (Mar-20-07)
  • Time Warner University gets $246 million to recover losses incurred in securities fraud. (Mar-12-07)
  • Carol Traina and Bari Wiggins $830 million in restitution to investors for securities fraud. (Mar-12-07)
  • Rambus Inc. $200 million settlement for backdated stock options. (Mar-9-07)
  • Vivendi Universal $51 million settlement for securities fraud. (Mar-7-07)
  • Fieldstone Investment Corp. $10.6 million settlement awarded to shareholders. (Mar-5-07)
  • MBIA Inc. Securities fraud lawsuit settled at $75 million for sham transactions. (Feb-12-07)
  • David Willey $1.8 million in fines for insider trading. (Nov-21-06)
  • Liberty Media Corp. Preliminarily $52 million shareholder settlement for breaching fiduciary duties. (Nov-20-06)
  • Hartford Financial Services Group Inc. $55 million settlement for failing to disclose marketing and distribution funds. (Nov-8-06)
  • Peter Tafeen $2.6 million for shareholder fraud. (Nov-8-06)
  • Oppenheimer & Co. $800,000 fine for reporting inaccuracies. (Oct-5-06)
  • First Montauk Securities $475,000 settlement for misleading customers into buying junk bonds. (Oct-5-06)
  • Prudential Financial Inc. $600 million settlement for facilitating rapid trading and market timing. (Aug-28-06)
  • DaimlerChrysler AG $295 million settlement awarded to Daimler-Benz shareholders. (Aug-25-06)
  • Martha Stewart $195,000 settlement for civil insider trading violations. (Aug-7-06)
  • RenaissanceRe Holdings Ltd. $16 million tentative securities settlement awarded shareholders. (Aug-2-06)
  • Advocate Lutheran General Hospital and Dr. George Melnyk $900,000 wrongful death settlement awarded Sam Stokes. (Jul-25-06)
  • Refco Inc. $127.5 million securities settlement awarded to the company's customers and creditors. (Jul-25-06)
  • Endocare Inc. $750,000 securities settlement awarded to the Securities and Exchange Commission. (Jul-25-06)
  • Van Der Moolen Specialists USA $3.5 million stock loan settlement awarded to the New York Stock Exchange. (Jul-17-06)
  • Nicor $10 million securities settlement awarded to the U.S. Securities and Exchange Commission. (Jul-17-06)
  • Wachovia Corp. $25 million settlement awarded to the U.S. government and the District of Columbia. (Jul-11-06)
  • Raytheon Company $12 million securities settlement awarded to the Securities and Exchange Commission. (Jun-30-06)
  • Mathon Management $6 million to $8 million tentative agreement reached in securities fraud settlement to the State of Arizona. (Jun-27-06)
  • Union Securities Ltd. $1.6 million settlement for failing to properly supervise employees in a number of situations involving improper trading activities. (Apr-20-06)
  • Gary Dowell and Terry Favilla $225,000 in insider trading settlement to be paid to the Securities and Exchange Commission. (Apr-13-06)
  • William A. Day $94,000 fine for insider trading of Oratec Interventions Inc. shares. (Feb-13-06)
  • Thomas Bucknum of Biogen Idec Inc. $3 million settlement for insider trading. (Jan-13-06)
  • Millennium Partners $180 million settlement for market timing to increase the cost of mutual funds to investors. (Dec-19-05)
  • Federated Investors $100 million to settle charges of late trading and market timing violations. (Dec-5-05)
  • Larry Ellison $122 million settlement for stock trading abuses. (Nov-29-05)
  • Provenco $622,000 settlement awarded to the Securities Commission for insider trading. (Oct-17-05)
  • Oracle Corp. $100 million donated to charities after the CEO sold $900 million in shares before stocks dropped drastically in 2001. (Sep-13-05)
  • Canadian Imperial Bank of Commerce $125 million settlement for improperly trading stocks engaged in market timing strategies. (Aug-1-05)
  • Citigroup Inc. $208 million secuities settlement. (Jun-6-05)
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