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BusinessWeek
June 18, 2007
Dawn Kopecki |
Backdating: Why Penalties Are Puny The SEC considers options violations less serious than other kinds of financial fraud.   |
Registered Rep.
September 1, 2005
Karen Donovan |
Under Siege Executives of broker/dealer firms are not exaggerating when they say it seems like regulators are locked into a competitive battle to collect the most pelts on Wall Street. |
CFO
January 30, 2004
Tim Reason |
Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds. |
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? |
Entrepreneur
December 2004
David Worrell |
Shell Shock? Just as the IPO window may be opening, lawmakers and regulators are working to slam it shut by implementing tough new rules for public companies. |
CFO
February 1, 2005
Ronald Fink |
Finders Keepers The SEC is hearing new demands to make it easier for small companies to raise capital. |
InternetNews
March 9, 2007
Clint Boulton |
SEC Cracking Down on Spam 'Pump and Dump' The SEC has suspended securities trading of 35 companies as part of a new crackdown on market manipulation via spam. |
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.
May 1, 2008 |
Blotter The SEC charged 11 people and three companies for an alleged conspiracy that raked in $64 million from 40,000 investors. |
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. |
Knowledge@Wharton
September 10, 2003 |
Do High Regulatory Costs Force Public Firms to Go Private? Steps aimed at increasing the financial transparency of U.S. companies could backfire if companies respond by going private instead. In these post-Enron, post-WorldCom times, that would deal a body blow to confidence in capital markets. |
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. |
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. |
InternetNews
August 9, 2006
Roy Mark |
Stock Options Scandal Hits Comverse Federal authorities charge Comverse Technology's former CEO and two others with criminal and civil complaints. |
BusinessWeek
June 3, 2010
Jesse Westbrook |
The SEC's BlackBerry Compromise The agency will give employees BlackBerrys -- but won't demand that they keep them on weekends or after hours |
BusinessWeek
July 26, 2004
Paula Dwyer |
The SEC To Top Execs: Read The Fine Print The Ken Lay criminal indictment has overshadowed the parallel SEC civil lawsuit. But corporate insiders and their attorneys would be wise to give the SEC complaint a close read. |
Wall Street & Technology
June 29, 2005
Maria Santos |
Thomsen Replaces Cutler at SEC Enforcement Head The SEC named Linda Chatman Thomsen director of the division of enforcement. Thomsen joined the SEC in 1995 and has served as the enforcement division's deputy director since 2002. |
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. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
Registered Rep.
June 1, 2005
Karen Donovan |
No More Slap on the Wrist Regulators are getting tough and creative on registered reps because they suspect that fines aren't a strong enough deterrent to stop illegal behavior. |
BusinessWeek
June 20, 2005
Amy Borrus |
What To Expect From Chris Cox His SEC could be a less aggressive cop. But business won't get a pushover. |
BusinessWeek
September 26, 2005
Amy Borrus |
The SEC: Cracking Down On Spin The Securities & Exchange Commission is going after executives for skimpy or misleading disclosures in annual reports. |
Registered Rep.
March 1, 2008 |
Blotter SEC filed a civil action against five unregistered Florida brokers who were operating a pump-and-dump scheme... Third largest hedge fund fraud ever... |
CFO
October 1, 2003
Craig Schneider |
The Attorney's Dilemma Will the SEC's new and proposed rules to turn lawyers into whistle-blowers strain relations between finance executives and corporate counsel? |
CFO
March 1, 2004
Kris Frieswick |
Bar Hopping Already considered one of the most severe civil penalties for securities violations, officer and director (O/D) bars have been embraced by the Securities and Exchange Commission with a new zeal. |
Registered Rep.
April 1, 2006
John Churchill |
Blotter Regulators Collar Bear... Pattern of Abuse... Junk Fax Scalping... Judge Freezes Ponzi Scheme... |
CFO
April 1, 2003
Kris Frieswick |
Fraud Squad Federal investigators are on a crusade to elevate corporate misdeeds to criminal offenses. |
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. |
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.
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. |
BusinessWeek
June 26, 2006
Jane Sasseen |
Another Dodgy Way To Dole Out Options Grants intentionally timed to good news are becoming the focus of greater scrutiny. |
Registered Rep.
July 30, 2012
Kristen French |
Blotter: August 2012 Among other actions, in July, the SEC charged former Connecticut resident Jerry S. Williams, a stock promoter, and two companies that he controlled, Monk's Den and First In Awareness, with civil fraud. |
CFO
March 1, 2003
Tim Reason |
Two Weeks in January The SEC put much of the Sarbanes-Oxley Act into effect by passing a slew of new rules. Here's what was proposed and what was disposed. |
Investment Advisor
February 2009
Melanie Waddell |
Mary Schapiro's Priorities Mary Schapiro tells the Senate Banking Committee what her priorities will be at the SEC. |
BusinessWeek
February 6, 2006
Emily Thornton |
More Heat On Hedge Funds As if there weren't enough controversy surrounding hedge funds, now the Securities & Exchange Commission is investigating suspicions that fund employees are engaging in insider trading. |
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 |
BusinessWeek
November 29, 2004
Amy Borrus |
Rating Agencies Get A Credit Check The SEC and European regulators are debating new rules for the U.S.-led credit rating industry. The commission probably will ask Congress for authority to require rating agencies to open their books and records to the SEC. |
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. |
BusinessWeek
July 28, 2003
Borrus & McNamee |
States vs. the SEC: What's All the Shouting for? On the surface, it looks like the fragile alliance between state and federal securities cops is crumbling. There's more -- and less -- going on here than meets the eye. |
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.
September 21, 2005
Susan Konig |
Rogue Broker's Management Culpable Raymond James Financial Services (RJFS) was ordered to pay a $6.9 million fine to the SEC for failing to supervise Dennis Herula, a former broker who is currently in prison after pleading guilty to federal charges of fraud. |
BusinessWeek
February 14, 2005
Amy Borrus |
Dr. No Digs In At The SEC When the Securities & Exchange Commission voted behind closed doors late last year to fine Goldman Sachs Group Inc. $40 million for allegedly trying to pump up the prices of initial public stock offerings, there was one holdout. |
Registered Rep.
October 6, 2004
Leitch & Gaffen |
Raymond James Fights the SEC's Fraud Charges The SEC brought fraud charges against the Tampa-based firm, saying the firm had looked the other way when a former broker scammed investors of approximately $44.5 million between 1999 and 2000. |
Investment Advisor
January 2009
Jeff Joseph |
More Regulation Post-Madoff? The only thing they are certain of is that his alleged Ponzi scheme. |
The Motley Fool
July 15, 2004
Tim Beyers |
SEC Hedges on Funds The Securities and Exchange Commission (SEC), in a hotly contested battle, chose to force more regulation on the fund industry. A new rule requires hedge funds to register. |
BusinessWeek
September 17, 2009
Michael Orey |
Commentary: Do Shareholder Class Actions Make Sense? Not when they extract payments from innocent shareholders and let fraudsters off the hook. |
Wall Street & Technology
November 18, 2005
Maria Wakem |
E-Mail Contention While most financial services firms are now compliant with SEC e-mail retention rules, the problem of selecting the best technology for the job still persists and is largely due to confusion among compliance and IT departments regarding what needs to be accomplished. |
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? |
Registered Rep.
December 1, 2006
John Churchill |
Blotter Shelf Space No No... Broker Gets 14 Years... |
BusinessWeek
December 22, 2003
Amy Borrus |
Funds: Leaving Little Guys Out In The Cold The SEC's cleanup of mutual funds could shortchange small investors. |
