A former Ameriprise Financial Inc stockbroker previously accused by U.S. securities regulators of engaging in insider trading ahead of a 2010 merger by Pfizer Inc has pleaded guilty to conspiracy to commit securities fraud.
Capital One Financial Corp said it had received a subpoena from the New York district attorney's office about its subprime auto finance practices.
BATS Global Markets is close to settling a U.S. regulatory probe into Direct Edge's dealings with high-frequency trading firms for $15 million, the biggest fine ever given to an exchange operator, according to two sources familiar with the situation.
Construction equipment company Caterpillar Inc on Friday said the U.S. Securities and Exchange Commission is investigating how it accounted for its July 2011 purchase of Bucyrus International Inc.
