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Fast Company
August 2003
Fara Warner |
Qwest Finds Itself On Hold Richard Notebaert is trying to make peace with Qwest's troubled past -- and lead the company into the future.   |
The Motley Fool
June 6, 2005
Tim Beyers |
Say It Ain't So, Joe Things just don't look good for former Qwest CEO Joe Nacchio. Did Nacchio know Qwest's asset sales were being misclassified as he guided towards higher earnings? Investors, take note. |
InternetNews
February 22, 2007
Clint Boulton |
Veritas Dinged For $30M Veritas Software will fork over cash to investors harmed in fraudulent financial schemes. |
InternetNews
March 2, 2007
Ed Sutherland |
McAfee Exec.: Not Guilty on Options Charges Former McAfee general counsel Kent Roberts, charged with fraud and lying to SEC, gets $1 million bail. |
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. |
BusinessWeek
November 10, 2003
Elgin & Himelstein |
The Qwest Case Starts To Boil The feds focus on whether former execs pressured suppliers to give them shares |
InternetNews
July 21, 2006
Ed Sutherland |
Former Brocade Execs Charged in Stock Scandal Brocade becomes just the latest caught in the stock options mess. Feds say the company fraud cost investors millions. |
Registered Rep.
October 13, 2005
John Churchill |
Market-Timer Banned and Fined Theodore Sihpol III, the former broker at Banc of America Securities (BAS) and poster boy for the market-timing scandals, agreed to pay a $200,000 fine and to accept a five-year ban from the securities industry. |
The Motley Fool
May 18, 2004
Rich Smith |
Lucent's Cloudy Picture Lucent settles one out of three SEC investigations it's facing. |
InternetNews
May 24, 2006
Ed Sutherland |
Sycamore Hit With SEC Probe The Securities and Exchange Commission is investigating networking company Sycamore Networks, the Chelmsford, Mass.-based firm announced. |
CFO
January 30, 2004
Tim Reason |
Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds. |
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. |
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. |
CFO
April 1, 2003
Kris Frieswick |
Fraud Squad Federal investigators are on a crusade to elevate corporate misdeeds to criminal offenses. |
The Motley Fool
September 10, 2004
Alyce Lomax |
Settling for Qwest? Sources say the troubled Baby Bell will settle with the SEC. Should investors celebrate? |
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. |
InternetNews
May 17, 2004
Colin C. Haley |
Lucent Settles SEC Complaint The company looks to eliminate distractions in an improving climate for network equipment. |
InternetNews
June 30, 2006
Ed Sutherland |
Apple Joins Widening Stock Option Probe Apple has joined a growing list of companies to find themselves involved in a widening probe into controversial practices involving stock option grants. |
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. |
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
December 15, 2004
Tim Gray |
Time Warner Settles Fraud Case Time Warner said today that it has agreed to pay $210 million in criminal and civil fines to settle a federal fraud case stemming from allegedly shady advertising deals within its America Online division. |
CFO
April 1, 2003
Julia Homer |
They ARE Out to Get You So far, relatively few executives have gone to jail for white-collar crimes. That may be about to change. |
InternetNews
April 24, 2007
Michael Hickins |
SEC Charges Former Apple Attorney With Fraud SEC levies fraud charges at Apple's former general counsel and settles with its former CFO in connection with a stock options backdating scandal. |
The Motley Fool
June 12, 2007
Tim Beyers |
Quick Take: Thanks, Dick Dick Notebaert did Denver, and Qwest investors, a great service. |
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. |
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? |
BusinessWeek
October 21, 2009
Farzad & Francis |
The SEC's Tough New Offensive on Insider Trading It's using wiretaps, informants, and high-tech software, as well as teaming with key federal prosecutors, to nab wrongdoers fast. |
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. |
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
January 6, 2004
Colin Haley |
IBM Korea Scandal Prompts U.S. Inquiries The DOJ and SEC are reportedly looking into bribery and bid-rigging allegations against the IT giant's South Korean subsidiary. |
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? |
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
February 17, 2005
Jim Wagner |
Qwest Prepares New MCI Bid Qwest will take another run at the long-distance carrier in hopes of displacing Verizon. |
InternetNews
April 13, 2004
Colin C. Haley |
Report: SEC to Charge TW Over AOL Ad Deal A probe over the ISP's accounting for $400 million in questionable ad revenue will reportedly culminate in a formal charge for AOL parent Time Warner this summer. |
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. |
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. |
InternetNews
November 17, 2006
Roy Mark |
HP Spy Probe Gets an Upgrade SEC joins others investigating HP's role in boardroom leaks scandal. |
Investment Advisor
November 2007
Thomas D. Giachetti |
Confusion and Misinformation Experience has shown us that the presence of hedge clauses will not guarantee that a client will not bring a cause of action against the advisor. When it comes to hedge clauses, specificity is the order of the day. |
InternetNews
March 16, 2005
Jim Wagner |
Qwest Readies New Bid For MCI Qwest's chairman says its bid will demonstrate its commitment to winning MCI... Verizon faces pressure to raise its own MCI Bid. |
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. |
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
February 28, 2006
Roy Mark |
Feds Bust $50M Online Ponzi Scheme A North Carolina woman and her two companies settled federal charges that she operated a classic Ponzi scheme that generated $50 million on her paid "autosurf" Web site. |
The Motley Fool
May 4, 2004
Phil Wohl |
Qwest Off Course The struggling local telco has strayed from roots. |
Knowledge@Wharton
January 29, 2003 |
Lawyers and Accountants Can Expect Curbs and Compromises in New SEC Rules Recent rules adopted by the U.S. Securities and Exchange Commission to curb the kind of legal and accounting shenanigans that toppled companies like Enron and Arthur Andersen are not as strong as the SEC first indicated they might be. But do they still have enough teeth to work? |
Registered Rep.
December 1, 2004
Karen F. Donovan |
Raymond James Fights a Lonely Battle with the SEC After nearly two years of negotiations, the agency charged Raymond James Financial Services with civil fraud in connection with the conduct of a rogue broker who worked off-site as an independent rep in Cranston, R.I. |
Registered Rep.
October 23, 2007
David A. Geracioti |
If Allegations Prove True, File This Under: Stupid Broker The SEC has filed a complaint against a former LPL rep and branch manager, who, the SEC says, had been engaging in one of the oldest broker tricks in the book: stealing his clients money. |
Registered Rep.
December 16, 2005
Halah Touryalai |
Former Pru Broker Penalized for Abusive Trading Three years after the SEC charged five Boston-based Prudential Securities brokers for abusive mutual fund trading, one of the accused is being temporarily barred from association with any broker/dealer or investment advisor. |
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. |
Investment Advisor
October 2009
Melanie Waddell |
SEC Criticized for Madoff Congress chides the SEC for the scathing inspector general report on Bernie Madoff. |
