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29 Dec 2006, 1:55 pm
Marsh & McLennan, the world’s largest insurance brokerage, agreed to sell its Putnam Investments asset management unit to Canada’s Power Corporation, an unnamed source told Bloomberg News. [read post]
14 Nov 2003, 2:37 am
In Friday's corporations law news, the SEC has announced a partial settlement with Putnam Investments relating to alleged illegal market timing trading. [read post]
8 Apr 2004, 7:09 am
Putnam Investments, the sixth-largest US mutual fund company and the first to be the target of a formal probe of its investment practices, has agreed to pay $110M to settle suits by federal and state regulators alleging improper "market timing" in its trading of mutual funds. $55M will go to settle an outstanding SEC action, and another $55M will settle an action brought by the Commonwealth of [read post]
2 Apr 2004, 6:20 am
In Friday's corporations and securities law news, William Galvin, Massachusetts' top securities regulator, is investigating Putnam Investments for possible improper rebates given to favored clients by using fees collected from other investors. [read post]
1 Dec 2006, 11:46 am
In September, Marsh & McLennan chief executive Michael Cherkasky said his company would “do a market check” to see how potential buyers might value its Putnam Investments unit. [read post]
1 Feb 2007, 4:54 am
Insurance broker Marsh & McLennan said on Thursday that it would sell its troubled money manager, Putnam Investments, to a unit of Canada’s Power Financial for $3.9 billion. [read post]
26 Jan 2007, 7:16 am
Marsh & McLennan’s chief executive, Michael Cherkasky, might yet throw a wrench into the insurance brokerage giant’s plans to sell its Putnam Investments unit. [read post]
23 Mar 2004, 5:20 pm
In Tuesday's corporations and securities law news, a report by Putnam Investments' board of trustees indicates the former CEO of the company knew about improper trading at the firm several years ago but failed to stop it. [read post]
27 Oct 2003, 2:29 pm
CNN says the US Securities and Exchange Commission is considering bringing civil charges against individuals at Putnam Investments. [read post]
5 Mar 2007, 5:08 am
Related Web Resources: NASD Fines Scudder Distributors, Putnam Retail Management, AllianceBernstein for Improper Training and Education Expenditures, NASD NASD AllianceBernstein Putnam Investments [read post]
19 Jan 2007, 7:38 am
Related Web Resources: Former Putnam CEO settles charges with SEC, Investment Executive.com, January 9, 2007 Mutual Fund Manager Putnam Pays $40 Million Fine To Settle SEC Enforcement Action, SEC.gov [read post]
14 Jun 2007, 1:40 pm
The SEC says that former Putnam Investment advisers Omid Kamshad and Justin Scott have settled charges that they improperly traded mutual fund shares. [read post]
14 Jun 2007, 1:40 pm
The SEC says that former Putnam Investment advisers Omid Kamshad and Justin Scott have settled charges that they improperly traded mutual fund shares. [read post]
28 Jun 2008, 8:28 pm
The results of a recent survey by Putnam Investments come as no surprise to those of us that are involved with 401(k) plans on a daily basis. [read post]
29 Sep 2009, 7:00 am
You can see how this can become a nontrivial source of pain for an investment bank when the market is in free fall and Fidelity or Putnam phones you for a bid on $100 million of toxic CDOs you sold them three months ago. [read post]
15 Sep 2010, 3:12 am by atussey@mortgagefraudblog.com
Joyce pled guilty admitting they misled people into buying homes as investment properties at prices far higher than the …Read More... [read post]
18 Jan 2022, 3:17 am
A Bankruptcy, a Voluntary Dismissal, and a Death (BrokeAndBroker.com Blog)Putnam County Man Pleads Guilty to Defrauding Elderly Citizens and Local Bank (DOJ Release)Needham Police Officer and Two Others Arrested for Insider Trading Scheme / Defendants allegedly profited from information obtained from public company executive (DOJ Release)SEC Charges Three Friends with Insider Trading (SEC Release)SEC Charges Two in Penny Stock Fraud Scheme (SEC Release)SEC Wins Judgment Against Georgia… [read post]