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  • SEC Charges Ex-Countrywide CEO with Insider Trading Thursday, 4 Jun 2009 | 6:00 PM ET
    Angelo Mozilo

    The SEC charged Angelo Mozilo, the former chairman and CEO of Countrywide Financial, with insider trading.

  • Money Manager to Plead Guilty in Plane Crash Thursday, 4 Jun 2009 | 4:28 PM ET

    An Indiana money manager is set to plead guilty to charges of crashing an airplane near a Panhandle neighborhood in a botched attempt to fake his own death.

  • Supreme Court to Review Sarbanes-Oxley Law Monday, 18 May 2009 | 2:49 PM ET

    The Supreme Court said Monday that it will rule on the constitutionality of the anti-fraud law that grew out of accounting scandals at Enron and other companies.

  • Stocks End Down Week With a Flop Friday, 15 May 2009 | 4:49 PM ET

    Stocks flopped Friday, capping a dismal week, as bank stocks pulled back after recent gains.

  • Stocks Struggle Despite Shot of Confidence Friday, 15 May 2009 | 11:23 AM ET

    Stocks opened flat Friday as investors were encouraged by a pair of better-than-expected manufacturing readings but dismal economic data out of Europe and weak U.S. retail reports capped gains.

  • Futures Pare Losses After Factory Reports Friday, 15 May 2009 | 9:21 AM ET

    Futures pared losses Friday after a pair of better-than-expected manufacturing readings.

  • Stocks Snap Losing Streak as Techs Rise Thursday, 14 May 2009 | 4:59 PM ET

    Stocks opened higher after Wal-Mart hit its earnings target but a pair of economic reports that missed expectations curbed gains.

  • Stocks Open Higher as Techs Bounce Back Thursday, 14 May 2009 | 10:30 AM ET

    Stocks opened higher after Wal-Mart hit its earnings target but a pair of economic reports that missed expectations curbed gains.

  • Futures Retreat After Jobless, PPI Reports Thursday, 14 May 2009 | 9:13 AM ET

    Futures pointed lower after a pair of economic reports came in worse than expected. Wal-Mart Stores reported earnings in line with expectations.

  • Enron's Skilling Files Appeal for 2006 Conviction Monday, 11 May 2009 | 4:12 PM ET
    Former Enron CEO Jeff Skilling (AP Photo/David J. Phillip)

    Former Enron CEO Jeffrey Skilling is appealing his 2006 conviction to the Supreme Court.  In a 50-page petition filed Monday afternoon, Skilling's attorneys argue the conviction should be overturned because he did not put his own interest above Enron's as the government claimed, and because the Houston jury that convicted him was prejudiced by "pervasive media coverage."

  • Court Freezes Assets of Pang, Companies Monday, 27 Apr 2009 | 11:56 PM ET
    SEC

    Federal regulators have won a court order freezing the assets of financier Danny Pang, whom they accuse of defrauding investors of hundreds of millions of dollars.

  • SEC to Consider About 4 Short Sale Proposals Monday, 6 Apr 2009 | 10:13 PM ET

    U.S. securities regulators will consider about 4 proposals to restrict short selling, a type of investing blamed for accelerating the severe downturn in financial services stocks.

  • SEC Watchdog Faults Handling of Naked Short Complaints Wednesday, 18 Mar 2009 | 10:30 PM ET

    A new report from SEC Inspector General David Kotz says the agency is not doing enough to address complaints about abusive, "naked" short selling.

  • Cuomo Subpoenas Merrill Top Earners Wednesday, 4 Mar 2009 | 9:33 PM ET
    Andrew Cuomo

    New York Attorney General Andrew Cuomo has issued subpoenas to seven top executives at Merrill Lynch -- executives who earned more than $200 million last year, according to sources familiar with the investigation. 

  • Madoff Trustee: No Securities Bought in 13 Years Friday, 20 Feb 2009 | 12:08 PM ET
    Bernie Madoff

    The trustee in charge of untangling the mess brought on by the Bernard Madoff scandal told investors Friday there was no indication the disgraced financier bought securities for his clients.

  • SEC Probe Focuses on Lehman, Bear Rumors: Report Thursday, 2 Oct 2008 | 4:57 AM ET

    The Securities and Exchange Commission is investigating whether traders spread rumors to drive down shares of former investment banks Bear Stearns and Lehman Brothers, USA Today reported, citing an SEC subpoena.

  • Merrill and Goldman Sachs Settle Auction-Debt Probe Thursday, 21 Aug 2008 | 6:11 PM ET

    Three more more financial firms, including Merrill Lynch and Goldman Sachs, reached settlements over the sale of auction-rate securities, a $330 billion market that collapsed in February.

  • Merrill's Thain, Cuomo Discuss Auction-Rate Probe Thursday, 21 Aug 2008 | 4:27 PM ET

    Merrill Lynch CEO John Thain met with New York Attorney General Andrew Cuomo on Thursday in an attempt to reach a settlement of the auction-rate securities probe, CNBC has learned.

  • Merrill Settles With Massachusetts on Auction Debt Thursday, 21 Aug 2008 | 1:27 PM ET

    Merrill Lynch reached a settlement with Massachusetts over auction-rate securities, the latest in a string a accords between regulators and Wall Street firms over the $330 billion market that collapsed in February

  • Cuomo Threatens to Sue Merrill Over Auction-Rate Debt Thursday, 21 Aug 2008 | 9:52 AM ET

    Merrill Lynch has until Friday to settle an auction-rate securities case with New York Attorney General Andrew Cuomo's office or it will face a lawsuit, Cuomo warned during a CNBC interview.