Securities

NEW YORK (Reuters) - Prosecutors are considering charging Steven A. Cohen's SAC Capital Advisors as a criminal enterprise engaged in a long pattern of insider trading in stocks, according to a person familiar with the matter. Prosecutors may use the...

By Suzanne Barlyn WASHINGTON, May 21 (Reuters) - Wall Street's watchdog will present a plan to its board in July that would require brokers to tell certain clients about compensation they receive when they switch firms, the regulator's chief said on...

WASHINGTON (Reuters) - Wall Street's watchdog will present a plan to its board in July that would require brokers to tell certain clients about compensation they receive when they switch firms, the regulator's chief said on Tuesday. Richard Ketchum,...

By Sarah N. Lynch and Douwe Miedema WASHINGTON, May 21 (Reuters) - The chairman of the U.S. derivatives regulator made a questionable call when he chose to distance himself from probing the demise of futures broker MF Global, the agency's internal...

TAMPA, Florida (Reuters) - Jamie Dimon, chairman and chief executive of JPMorgan Chase & Co took an unusual step to fight off investors seeking more oversight of his activities - he hinted he might quit. And it worked. At the bank's annual meeting on...

A Boca Raton lawyer was found guilty Monday for his role in a five-year, multimillion-dollar stock market manipulation and fraud scheme, according to acting Assistant U.S. Attorney General Mythili Raman. Attorney Mitchell J. Stein, 53, was convicted...

NEW YORK (Reuters) - UBS AG lost a bid Tuesday to dismiss a whistle-blower lawsuit by a former commercial mortgage-backed securities strategist who said he was fired for refusing to publish misleading research reports. U.S. District Judge Jesse Furman in...

* Rajat Gupta says wiretaps improperly admitted at trial * Gupta's 2-year prison term on hold while he appeals * 2nd Circuit panel hears oral arguments in appeal By Nate Raymond NEW YORK, May 21 (Reuters) - Lawyers for former Goldman Sachs Group Inc...

NEW YORK (Reuters) - Lawyers for former Goldman Sachs Group Inc board member Rajat Gupta sought to reverse his insider-trading conviction on Tuesday, arguing that wiretap evidence used by the prosecution should not have been introduced at trial....

By Karen Freifeld and David Henry May 20 (Reuters) - JPMorgan Chase & Co, under pressure from the New York Attorney General's office, has agreed to give investors information about upcoming ballot votes, after the company that collects votes on the...

NEW YORK (Reuters) - SIFMA, the securities industry's largest trade group, named former Senator Judd Gregg as chief executive officer, in a move that may signal a desire to mend fences with ordinary Americans and Congress. The Securities Industry and...

May 20 (Reuters) - U.S. Treasury Secretary Jack Lew on Monday said the Obama administration was suspending investments in the Civil Service Retirement and Disability Fund, a government employee pension fund, to help the nation keep paying its bills now...