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33 articles for "fidelity investments gifts sec" from Boston Globe
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8 cited in Fidelity case will pay $1m
...current and former Fidelity Investments employees will...improperly received gifts from brokers seeking...have now settled. Fidelity itself agreed in...fund trustees, Fidelity separately agreed...admitted or denied the SEC's findings... (Page B5, 508 words)
By: Ross Kerber|Date: Dec 12, 2008
www.boston.com/business/articles/2008/12/12/8_cited_in_fidelity_case_will_pay_1...
Former trader, brokerage settle Fidelity gift probe
...former Fidelity Investments employee whose lavish...investigation of the Fidelity gifts problem...centered on members of Fidelity's vaunted stock...documents, the SEC said that more than 30 firms plied Fidelity traders with some $3 million worth of gifts. In March, Fidelity...investigation of gift-giving at Fidelity... (Page B7, 678 words)
By: Ross Kerber|Date: Oct 31, 2008
www.boston.com/business/articles/2008/10/31/former_trader_brokerage_settle_fide...
Nine from Fidelity settle SEC charges
...current and former Fidelity Investments traders reached preliminary...jet trips and other gifts, according to administrative...would leave only one Fidelity trader still facing...current and former Fidelity employees who the SEC claimed in March... (Page A13, 475 words)
By: Ross Kerber|Date: Oct 11, 2008
www.boston.com/business/articles/2008/10/11/nine_from_fidelity_settle_sec_charg...
Access to excess
...giant Fidelity Investments of Boston. In...million to ply Fidelity stock traders...as part of the SEC's case against...current and former Fidelity employees whom...the hundreds of gifts the traders allegedly...itself settled SEC charges, including...Like Jefferies, Fidelity neither admitted...losses related to gift-giving. Fidelity... (Page E1, 956 words)
By: Ross Kerber|Date: May 15, 2008
www.boston.com/business/markets/articles/2008/05/15/access_to_excess
Fidelity to pay $8m to settle gift-taking case
Fidelity Investments yesterday agreed...improperly received gifts, including...and former Fidelity employees...settled with the SEC yesterday...tightening company gift policies...t work at Fidelity anymore, the...acceptance of gifts violated Fidelity's own policy...yesterday by the SEC, Martin said... (Page A1, 1294 words)
By: Andrew Caffrey and Ross Kerber|Date: Mar 6, 2008
www.boston.com/business/personalfinance/articles/2008/03/06/fidelity_to_pay_8m_...
Fidelity negotiating settlement over gifts
Fidelity Investments and securities regulators...difficult episode for Fidelity, which in December...stock trades on Fidelity's behalf. The...December over gifts to Fidelity traders, without...traders accepted gifts from unnamed brokerages...contention that the gift giving harmed shareholders...working with the SEC to resolve the investigation... (Page C1, 708 words)
By: Ross Kerber|Date: Mar 23, 2007
www.boston.com/business/globe/articles/2007/03/23/fidelity_in_talks_to_settle_g...
Fidelity plan may ease path with SEC
Fidelity Investments' payment of...other benefits. Fidelity's independent...message to the SEC that Fidelity is handling this...though not on the gifts case, said the SEC recently has come...complaint it violated gift limits meant to... (Page C8, 577 words)
By: Ross Kerber|Date: Dec 23, 2006
www.boston.com/business/globe/articles/2006/12/23/fidelity_plan_may_ease_path_w...
Faulting oversight of traders, Fidelity to pay funds $42m
Fidelity Investments will pay its mutual...traders who accepted gifts, travel, and other...the interest of Fidelity's mutual fund...public apology from Fidelity chairman Edward...statement posted on Fidelity's website...it had violated gift limits meant to...with Jefferies, SEC officials said their... (Page A1, 1131 words)
By: Ross Kerber|Date: Dec 22, 2006
www.boston.com/business/articles/2006/12/22/faulting_oversight_of_traders_fidel...
Gates exits with Fidelity probe undone
...into the spree of gifts that traders at Fidelity Investments received a few years...mutual funds sold by Fidelity, the Boston mutual...received by a group of Fidelity traders from 2002...cooperated with both the SEC and the independent... (Page D1, 841 words)
By: Ross Kerber|Date: Dec 7, 2006
www.boston.com/business/globe/articles/2006/12/07/gates_exits_with_fidelity_pro...
N.Y. firm courted Fidelity traders with $2m in gifts
...business from Fidelity Investments traders, a New...them with pricey gifts such as private...it had violated gift limits designed...the settlement. Fidelity was not charged...lavished on some of Fidelity's top personnel...acceptance of gifts and entertainment...increased business . The SEC is still investigating... (Page A1, 1143 words)
By: Ross Kerber|Date: Dec 5, 2006
www.boston.com/business/globe/articles/2006/12/05/ny_firm_courted_fidelity_trad...
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