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The inquiry was into suspected improper fund trading.
All were accused of illegal mutual fund trading.
To investigate, we consider exogenous financial blockholder departures associated with the 2003 mutual fund trading scandal.
We use transaction-level fund trading data, and our research follows a two-step procedure.
Prudential Financial entered into a deferred prosecution in 2006 over improper mutual fund trading.
Prudential Financialentered into a deferred prosecution in 2006 over improper mutual fund trading.
Mr. Spitzer and other regulators have been investigating two types of fund trading.
The companies have also received subpoenas from regulators seeking more information about their fund trading practices.
Federated Investors Inc. said yesterday that an internal investigation turned up possible improper mutual fund trading.
WHAT to do? Laws requiring far more transparency in hedge fund trading are needed.
Separately, the S.E.C. is planning to announce new rules on mutual fund trading tomorrow.
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