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The Motley Fool May 18, 2004 Rich Smith	Lucent's Cloudy Picture Lucent settles one out of three SEC investigations it's facing.
The Motley Fool April 7, 2004 Rich Smith	Lucent Sings to the Feds The company discovers further instances of possible bribery by its employees, this time in China.
The Motley Fool April 21, 2004 Ben McClure	Nortel's Big What If Will the telecom equipment maker Nortel Networks get through its accounting issues unscathed?
CFO April 1, 2005 Tim Reason	The Limits of Mercy The cost of cooperating with the SEC is high. The cost of not cooperating is even higher. Faced with financial penalties, career-ending bans, and possible criminal prosecution, more individuals are choosing to fight the SEC.
The Motley Fool April 29, 2004 Lita Epstein	No More Cheering for Nortel With its CEO and CFO fired and the SEC formally investigating, it's time to stop.
The Motley Fool November 11, 2004 Rich Smith	SEC Targets Lucent Ex-Execs Investigation into alleged Saudi bribery by its Chinese subsidiary moves ahead. Lucent's stock has dropped 15% in value.
On Wall Street October 1, 2009 Thomas O. Gorman	SEC v. Bank of America: Where to Go From Here? The SEC thought it had completed an investigation, brought an enforcement action and then settled it.
Financial Advisor January 2004 Jay Gould	Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react?
National Defense November 2011 Piazza & Ayers	Regulators Flex Foreign Corrupt Practices Act Enforcement Muscles Continuing a trend that started late in the last decade, the Securities and Exchange Commission this year continues to raise the bar on the enforcement of the Foreign Corrupt Practices Act of 1977.
InternetNews February 22, 2007 Clint Boulton	Veritas Dinged For $30M Veritas Software will fork over cash to investors harmed in fraudulent financial schemes.
Chemistry World March 16, 2015 Rebecca Trager	Drug firms warned to be honest with investors The US Securities and Exchange Commission is concerned that too many pharmaceutical companies aren't being sufficiently transparent with investors about their interactions with regulators at the US Food and Drug Administration.
InternetNews October 22, 2004 Colin C. Haley	Qwest Settles Fraud Charges The voice and data carrier will pay $250 million to end a two-and-a-half year probe.
InternetNews March 12, 2007 Andy Patrizio	SEC, Canada Charge Ex-Nortel Execs With Fraud Nortel Networks is taking a pretty severe beating on both sides of the U.S./Canada border.
The Motley Fool July 6, 2004 Tom Taulli	Grim Reaper Visits EasyLink By all appearances, EasyLink is being hit for a minor offense. Not according to the SEC.
CFO October 1, 2002 Alix Nyberg	Regulation: Pitt and the Pendulum The kinder, gentler SEC Pitt envisioned vanished faster than you can say Arthur Andersen. Can he run a tougher, meaner agency?
InternetNews April 7, 2004 Colin C. Haley	Mixed News From Lucent's Overseas Operations The company reinforces its multi-vendor support strategy with a customer win in Germany, while a potential scandal brews in its China office.
CFO September 1, 2008 Kate O'Sullivan	Gunning for Global Graft The Department of Justice and the SEC turn up the heat on briberies of foreign officials.
BusinessWeek June 18, 2007 Dawn Kopecki	Backdating: Why Penalties Are Puny The SEC considers options violations less serious than other kinds of financial fraud.
InternetNews September 13, 2007 David Needle	SEC Goes After More Former Nortel Execs The Securities and Exchange Commission has charged four more former Nortel Networks executives in its widening investigation into past accounting practices of the telecom firm.
Registered Rep. February 18, 2009 John Churchill	UBS Nailed With $780 Million Fine, Admits To Aiding Tax Dodge Clients The U.S. government has taken its pound of flesh from UBS today. According to a Department of Justice press release.
BusinessWeek May 20, 2010 Jesse Westbrook & David Scheer	How Big a Hit Will Goldman Take? Congress and the public expect the SEC to extract a big fine
InternetNews May 31, 2007 Clint Boulton	SEC Settles Backdating Cases With Mercury, Brocade The Securities and Exchange Commission settled stock-option backdating cases with Mercury Interactive and Brocade Communications Systems totaling $35 million.
InternetNews January 13, 2006 Clint Boulton	SEC is Probing IBM Earnings The Securities and Exchange Commission's investigation into IBM's first-quarter 2005 accounting practices is now official.
Investment Advisor September 2009	Broker/Dealer News Actions by the SEC and FINRA
Financial Planning September 1, 2008 Andrew Ackerman	SEC Probes Wachovia The Securities and Exchange Commission enforcement staff has notified Wachovia Bank that they may recommend the SEC file charges against it, as a result of an investigation into alleged anti-competitive bidding practices.
CFO January 1, 2005 David M. Katz	The Bribery Gap While foreign rivals may make payoffs routinely, U.S. firms face new pressure to root out abuses.
CFO February 1, 2006 Alix Nyberg Stuart	Penalty Box The SEC is handing out bigger and bigger fines for misdeeds. But is this the right approach?
Registered Rep. September 10, 2008	Bank of America to Buy Its ARs Back The nation's second-largest bank by assets settled an investigation by Massachusetts regulators, agreeing to buy back $4.5 billion worth of the securities.
Registered Rep. April 26, 2005 Kristen French	A Pawn Takes the Queen Charles Elliott scores one for the "little guy," and proves that sometimes it pays for a broker to take on securities regulators, despite their financial and legal heft.
Registered Rep. March 15, 2006 Kevin Burke	Merrill Fined $2.5 Million Over Lax Email Oversight The SEC slapped the nation's largest brokerage with a $2.5 million fine and a cease-and-desist order for a "systemic" mishandling of email records related to its brokerage business.
The Motley Fool May 25, 2004 Ben McClure	Enticed by Cheap, Cheap Nortel? Don't be tempted by Nortel's share-price slide. The worst could be yet to come.
InternetNews April 28, 2004 Sean Michael Kerner	Nortel Fires CEO Over Accounting The network equipment giant sacks Frank Dunn and two of his managers after an audit committee investigation.
InternetNews June 2, 2004 Colin C. Haley	Nortel Foresees Growth, Accounting Issues Linger The network gear vendor will grow faster than the market this year thanks to convergence, but restated financial results aren't ready yet, its new CEO says.
On Wall Street July 1, 2009 Mark Astarita	The SEC's "Feel Good" Committee The Securities and Exchange Commission announces the formation of an Investor Advisory Committee, which it says will give investors a greater voice in its work.
CFO June 1, 2009 Reason & Stuart	Crackdown Alert After a GAO report documents a slowdown in the SEC's case generation and penalty volume under former chairman Christopher Cox, the regulator's new leaders talk tough.
The Motley Fool November 14, 2011 John Reeves	Wrist Slaps All Around at the SEC The SEC disciplines its employees who were involved in the Madoff case.
InternetNews May 23, 2007 David Needle	HP Settles With SEC Over Boardroom Drama The Securities and Exchange Commission said HP should have reported reasons for board member's resignation.
National Defense September 2011 McGrath et al.	New Rules Give Incentives to Whistleblowers As more than 1,500 letters to the SEC during the notice and comment period confirm, the Dodd-Frank whistleblower requirements are complex and the program is controversial.
InternetNews September 21, 2007 David Needle	Steve Jobs to Testify in Backdating Case Apple CEO Steve Jobs has reportedly been subpoenaed by the Securities and Exchange Commission to testify in a stock-options back-dating case against Apple's former general counsel, Nancy Heinen.
InternetNews January 4, 2006 Clint Boulton	McAfee Settles SEC Score McAfee will pay $50 million to settle Securities and Exchange Commission charges related to the software maker's finances dating back to 2000.
CFO January 30, 2004 Tim Reason	Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds.
The Motley Fool April 26, 2006 Rich Duprey	Investing in Presto's Dim Future The small-appliance maker may soon find itself in hot water with the SEC. Investors, take note.
Registered Rep. March 15, 2012 Kristen French	Due Diligence: Step Back Rakoff, SEC-Citigroup Settlement Could Stand Judge Jed Rakoff may have overstepped his authority, said a federal appeals court today. In a procedural decision, the court wrote that the Securities and Exchange Commission has a good chance of overturning Rakoff's rejection of a $285 million SEC settlement with Citigroup.
InternetNews January 13, 2006 Clint Boulton	Lucent Lowers Sales Expectations Lucent Technologies said weak sales in the U.S. and China won't be kind to the networker's first quarter revenues.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You: Part 2 By giving the investing public access to information, and serving as a regulator with the power to take action to correct problems, the SEC works hard to protect investors.
Registered Rep. November 1, 2005 John Churchill	Market-Timer Banned and Fined Theodore Sihpol III, a former broker at Banc of America Securities (BAS), and poster boy for the market-timing scandals -- and the first target of Spitzer to say no to a plea offer -- has settled with the SEC.
CFO February 1, 2003 Tim Reason	Prove It The SEC's new policy is to target audit firms, not only individual accountants.
InternetNews July 5, 2006 Clint Boulton	Mercury Heads May Face Stock-Option Probe The SEC may pursue three Mercury Interactive directors in relation to a stock-option grant backdating scandal.
InternetNews July 8, 2009 Andy Patrizio	Apple Faces SEC Probe on Jobs Health Disclosure The U.S. Securities and Exchange Commission is investigating Apple's handling of CEO Steve Jobs's health problems.
Registered Rep. March 14, 2012 Diana Britton	SEC Goes After Venture Capital B/D Over Sale of Facebook Shares The Securities and Exchange Commission has filed charges against New York-based venture capital broker/dealer Felix Investments and the firm's founder Frank Mazzola.