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• CAMCO Settles FTC Charges

  http://www.ftc.gov/opa/2004/03/camco.htm
  FTC had alleged that CAMCO and its subsidiaries indulged in abusive and deceptive collection practices violating federal law. [FTC]

• FTC Charges QVC Home Shopping Channel With Making Deceptive Claims

  http://www.ftc.gov/opa/2004/03/qvc.htm
  DOJ sues QVC for unsubstantiated claims for Lite Bites weight-loss products and Bee-Alive royal jelly dietary supplements. Also alleges same for Lipofactor Cellulite Target Lotion. {FTC]

• KFC’s Claims That Fried Chicken Is a Way to “Eat Better” Don’t Fly

  http://www.ftc.gov/opa/2004/06/kfccorp.htm
  Kentucky Fried Chicken settles FTC charges that it made false claims about fried chicken’s nutritional value and compatibility with popular weight-loss programs. [FTC]

• KPMG 'obstructed US tax inquiry'

  http://news.bbc.co.uk/1/hi/business/3312721.stm
  The US Justice Department accuses accountancy firm KPMG of obstructing an IRS investigation into tax shelters. [BBC]

• Mutual Fund Manager MFS Settles with SEC

  http://www.sec.gov/news/press/2004-44.htm
  Massachusetts Financial Services Company (MFS) allegedly used brokerage commissions on mutual fund transactions to illegally pay for their marketing and distribution. [SEC]

• PBHG Funds and Pilgrim Baxter Charged With Fraud

  http://www.sec.gov/news/press/2003-161.htm
  SEC charges the founders with fraud in connection with market timing of the Funds.

• SEC Charges CMS Energy Corp. with Fraud in Round-Trip Energy Trades

  http://www.sec.gov/news/press/2004-38.htm
  According to SEC, CMS arranged "massive pre-arranged trades that, despite lacking economic substance, grossly inflated CMS's reported revenues." [SEC]

• SEC Charges Former CIBC Managing Director With Fraud

  http://www.sec.gov/news/press/2004-12.htm
  Paul A. Flynn charged with providing financing to hedge funds he knew were engaged in unlawful market timing and late trading of mutual funds.

• SEC Charges Gateway with Fraudulent Earnings Manipulation Scheme

  http://www.sec.gov/news/press/2003-157.htm
  The company gave the false and misleading impression that it was outpacing an industry trend of decreasing sales of personal computers.

• SEC Charges Martha Stewart, Broker Peter Bacanovic with Illegal Insider Trading

  http://www.sec.gov/news/press/2003-69.htm
  Complaint alleges that Stewart committed illegal insider trading when she sold stock of ImClone Systems after receiving an unlawful tip from Bacanovic and subsequently both lied during investigation.[SEC]

• SEC Charges Security Trust in Trading Schemes

  http://www.sec.gov/news/press/2003-164.htm
  Company facilitated fraudulent mutual fund late trading and market timing schemes,

• SEC Files Civil Fraud Case Against Fleet for Market Timing Arrangements

  http://www.sec.gov/news/press/2004-20.htm
  It charged that FleetBoston's Columbia Management Advisors and Columbia Funds Distributor allowed certain customers to engage in short-term and excessive trading, while prohibiting others. [SEC}

• SEC to Settle Charges Against Bank of America for Market Timing and Late Trading

  http://www.sec.gov/news/press/2004-33.htm
  SEC had charged that the BoA's Capital Management and Securities subsidiaries facilitated market timing and late trading by Canary hedge fund and others. [SEC]

• SEC's Agreement to Settle Civil Fraud Charges Against Fleet for Undisclosed Market Timing

  http://www.sec.gov/news/press/2004-34.htm
  SEC had charged that Fleet's subsidiaries Columbia Management Advisors and Columbia Funds Distributors allowed certain preferred mutual fund customers to engage in short-term and excessive trading. [SEC]

• Settlement Reached With Five Specialist Firms

  http://www.sec.gov/news/press/2004-42.htm
  They allegedly violated Federal Securities Laws and NYSE Regulations by executing orders for their dealer accounts ahead of executable public customer or "agency" orders. [SEC]

• Tower Records' Security Flaw Exposed Customers’ Personal Information

  http://www.ftc.gov/opa/2004/04/towerrecords.htm
  MTS and Tower Direct settled Federal Trade Commission charges of exposing customers’ personal information to other internet users, in violation of federal law. [FTC]

 

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