Search for: "Putnam Investments"
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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]
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]
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]
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]
24 Mar 2004, 2:44 pm
The SEC believes Putnam should pay a fine in the "hundreds of [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]
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]
28 Oct 2003, 1:29 pm
This is Matt Jacobs at the JURIST anchor desk. [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]
