Scott Friestad News
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A Toronto-based investment banker will pay more than $340,000 to settle U.S. regulatory claims that he made illegal trades based on confidential information that U.K. firm Tomkins Plc was a target for an acquisition.
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InterMune Inc. had good news to announce about its lung disease drug.
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A former director of store operations at J.Crew Group Inc. agreed to pay more than $120,000 to settle allegations that he traded stock based on non-public information.
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Bank of American Corp.’s Merrill Lynch unit agreed to pay $10 million to settle U.S. regulatory claims that it misused clients’ securities orders to make trades with the firm’s own money.
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Diageo Plc, maker of Johnnie Walker scotch and Smirnoff vodka, will pay more than $16 million to resolve U.S. regulatory claims the firm bribed officials in South Korea, India and Thailand to win sales and tax benefits.
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The U.S. Securities and Exchange Commission sued Argyll Investments LLC and two of its executives over claims they defrauded officers and directors at public companies in an $8 million stock-lending scheme.
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Daniel Ruettiger, the former walk-on football player at the University of Notre Dame who inspired the 1993 film “Rudy,” agreed to pay $382,000 to resolve U.S. regulatory claims he defrauded investors in his sports-drink company by touting fake taste tests and sales.
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Billionaire Stanley Ho today said he transferred ownership of his stake in Asia’s biggest casino company to family members, ending a dispute for control over a business he spent five decades building.
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Three former senior executives of Diebold Inc. used fraudulent accounting practices to inflate earnings from at least 2002 to 2007, the U.S. Securities and Exchange Commission alleged in a lawsuit.
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Just as a June 2 meeting with investors was starting, Diebold Inc. Chief Executive Officer Thomas Swidarski saw his company’s share price plummet more than 30 percent in six seconds.
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