| Similar Articles |
|---|
 |
Registered Rep.
August 8, 2005
Stan Luxenberg |
CIBC and the Murky Waters of Mutual Fund Enforcement When the mutual fund scandals broke in September 2003, New York Attorney General Eliot Spitzer and other politicians described the misdeeds in black-and-white terms. Now, two years into the legal actions, the saga has begun to appear murkier.   |
Registered Rep.
April 1, 2006
Stan Luxenberg |
To Define a Theft For all the uncertainties, the SEC continues battling the mutual fund market-timing problem. After the scandal broke, the regulator promised tough moves to stop the questionable trading. But so far, the pace of change has been slow. |
Registered Rep.
September 1, 2005
Stan Luxenberg |
Gray Matter When the mutual fund scandals broke in September 2003, New York Attorney General Eliot Spitzer and other politicians described the misdeeds in black-and-white terms. Now, two years into the legal actions, the matter is getting murkier. |
Registered Rep.
August 20, 2008 |
Putnam, Janus Pay For Market Timing Scandal--But Did Anyone Really Lose Any Money? What impact did the market-timing scandal have on the fund industry? |
BusinessWeek
November 10, 2003
Dwyer & Borrus |
The Coming Mutual-Fund Reforms As mutual-fund abuses mount, regulators and lawmakers promise tough new rules. |
Registered Rep.
January 1, 2007
Stan Luxenberg |
No Redemption After discovering the fund market-timing scandals in 2003, regulators suggested boosting redemption fees. But lately, fee proponents have been losing their enthusiasm. The SEC decided not to make the fees mandatory. |
Registered Rep.
December 1, 2006
Stan Luxenberg |
Payback Time Still As punishment for the market-timing scandals, the SEC and other enforcers collected fines from 20 fund companies. Four fund companies have filed plans with the SEC to distribute the cash to shareholders. But so far the money sits waiting until the plans are approved. |
BusinessWeek
October 20, 2003
Dwyer & Thornton |
Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others? |
BusinessWeek
December 15, 2003
Paula Dwyer |
Breach Of Trust The mutual-fund scandal was a disaster waiting to happen. An inside look at how the industry manipulated Washington |
BusinessWeek
September 22, 2003
Der Hovanesian et al. |
How to Fix the Mutual Funds Mess Hidden fees, lax boards, and now scandal. Here's what has to be done. |
Registered Rep.
August 1, 2005
Stan Luxenberg |
The Price of Redemption By monitoring suspicious trading and using other techniques, funds may go a long way to protecting shareholders from the costs of rapid trading. |
Financial Advisor
February 2004
Tracey Longo |
Facing The Confidence Crisis How you can help clients deal with the mutual fund scandals. |
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. |
Registered Rep.
April 1, 2006
Kristen French |
Your Fees Under the Regulator Microscope Financial advisors had better be able to justify their fees, because regulators have been busy examining fees charged to retail clients. |
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. |
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
April 18, 2007
Amanda B. Kish |
The SEC Gets It Right The agency revisits governance rules and fees for mutual funds. |
Knowledge@Wharton
September 24, 2003 |
Mutual Fund Scandals: Once Again, Individual Investors Are the Losers Is the mutual fund industry going to become mired in the kind of scandal that has afflicted so many public companies over the past few years? |
BusinessWeek
October 18, 2004
Anne Tergesen |
In Your Fund Manager On Your Side? Until recently, most investors asked just one thing of their mutual funds: red-hot returns. Now, in the wake of the trading scandals, investors are also looking for fund management they can trust. |
Registered Rep.
January 13, 2006
Halah Touryalai |
SEC Displays Enforcement Commitment in Leveling Record Penalty Daniel Calugar, a former Las Vegas stock trader, settled with the SEC regarding charges involving market timing and late trading of mutual funds. The settlement will require him to pay a record $153 million in penalties. |
Registered Rep.
December 1, 2004
Stan Luxenberg |
Is the Juice Worth the Squeeze? The overhaul of the mutual fund industry spearheaded by Eliot Spitzer is widely viewed as a victory for investors, but some analysts are challenging that notion. |
Registered Rep.
March 24, 2005
Kristen French |
Mutual Fund Enforcement Picks Up Steam On March 23, the SEC and NASD handed out fines in mutual fund-related punishments totaling more than $80 million to five firms. And that is likely just the beginning of a coming avalanche of similar regulatory actions, legal experts say. |
Registered Rep.
August 1, 2004
Will Leitch |
The Reformation When the scandal craze that has gripped the securities industry first began two years ago, few in the industry recognized how deep it might go. |
BusinessWeek
November 10, 2003
Jeffrey M. Laderman |
Mutual Funds: What To Do Now Wondering how to cope with the growing scandal? Here are some answers. |
BusinessWeek
April 19, 2004
Faith Arner |
Can This Man Save Putnam? The firm is hemorrhaging billions of assets in the wake of scandals. Ed Haldeman has to stop the bleeding |
CFO
April 1, 2004
Roy Harris |
Malfeasance Insurance How companies are analyzing and adjusting their 401(k) plans due to the mutual fund scandals. |
Entrepreneur
August 2004
Julie Monahan |
Payback Time Settlement dollars from the SEC crackdown on mutual fund malfeasance will reach millions. But will you get your fair share? |
Financial Advisor
November 2003
Marla Brill |
Advisors Divided Over Fund Scandals Some think they are isolated cases; others say their faith is being tested. |
Registered Rep.
May 21, 2004
Will Leitch |
Roye Blasts Revenue Sharing at ICI Conference; Strong Settles The SEC's director of its investment management division delivered perhaps his strongest remarks yet on mutual fund malfeasance. |
CFO
December 1, 2003
Linda Corman |
Subject to Failure Recent scandals in the mutual-fund industry leave employers questioning the security of their plans. |
CFO
January 30, 2004
Tim Reason |
Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds. |
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. |
CIO
July 1, 2004
Elana Varon |
Mutual Benefits To regain investor confidence and improve the bottom line, the mutual fund industry needs to integrate transactions up and down the supply chain. |
Registered Rep.
April 1, 2005
David A. Geracioti |
Gurus: The Watchdog An interview with investment manager and FundAlarm.com's founder on the formation of the mutual fund information Web site, who it serves and the viability of mutual funds. |
Registered Rep.
June 1, 2004
Will Leitch |
Accused A recent mutual fund scandal at Edward Jones causes a temporary hiccup in the firm's reputation. |
Registered Rep.
August 18, 2004
Will Leitch |
SEC Unanimously Votes to Ban Directed Brokerage The 5-0 vote surprised few. Perhaps more worrisome was the call for comment on overhauling or banning outright 12b-1 fees, which were described as disguised commissions. |
BusinessWeek
November 17, 2003
Borrus & Dwyer |
Funds Need A Radical New Design Recent mutual fund scandals show that fund boards do a poor job of protecting investors. A look at some proposals for restructuring the industry. |
Registered Rep.
June 25, 2004
David A. Gaffen |
Advisor Concern and Heated Exchanges at Morningstar Conference While most advisors interviewed at the conference were hopeful that they could weather the recent spate of mutual fund-related scandals, it doesn't mean that they, or their clients, are happy about recent events. |
Registered Rep.
November 3, 2003
Will Leitch |
Fund Scandal Implicates Stockbrokers The mutual fund trading scandals headlines seemed to implicate mutual fund family executives and hedge funds -- everybody but individual retail brokers and brokerage management. But a new survey by the SEC charges brokers with abusive trading of mutual funds. |
BusinessWeek
January 12, 2004 |
Mutual Funds: In the Scandals' Wake, A Raft Of New Rules It's a tricky time to be in the mutual-fund business. With the $7 trillion fund industry under intense scrutiny by regulators and legislators, a significant overhaul of the way funds do business is expected. |
BusinessWeek
December 1, 2003
Borrus & Dwyer |
The Critical Battle For Fund Reform Big investors, Congress, the SEC -- they're all swooping in to curb widespread abuses in the mutual-fund industry. |
BusinessWeek
June 26, 2006
Lauren Young |
Mutual Funds: Back In Action Sure, the markets are jittery, but mutual funds are doing a better job for investors since the dot-com smashup. Long-term returns are up, fees are down, and, despite ETFs and hedge funds, money is rolling in. |
BusinessWeek
March 8, 2004
Anne Tergesen |
Revealing Redemption Rates Worried that market timers are monkeying with your mutual fund? Here's one way to check for red flags |
The Motley Fool
April 6, 2004
Shannon Zimmerman |
Surviving the Fund Scandal Times are tough for fund investors, but they're about to get better. An unfolding mutual fund scandal is paving the way for serious reform. |
Registered Rep.
February 27, 2004
David A. Gaffen |
Regulators, Industry Still Divided On Mutual Funds David Brown, bureau chief of investment protection in the New York Attorney General's office, said insurance companies who sold mutual funds wrapped in variable annuities, along with banks and law firms, may end up becoming targets of Eliot Spitzer's ire in coming months. |
BusinessWeek
September 22, 2003
Anne Tergesen |
How Traders Play the Timing Game Finance professor Jason Greene explains why this technique hurts buy-and-hold fund investors and how to protect yourself |
BusinessWeek
December 1, 2003
Robert Barker |
For Putnam's Parent, Limited Damage Putnam's low-profile parent, Marsh & McLennan, strikes me now as an opportunity. |
BusinessWeek
September 27, 2004 |
"You Cannot Legislate Honesty" Fund manager Robert Olstein, in a candid interview, says the SEC regulators have overstepped the mark. |
HBS Working Knowledge
December 15, 2003 |
Readers Respond: Is This the Twilight Era for the Managed Mutual Fund? Business leaders and managers who can't recognize public and investor trust as a fundamental requirement of their business should be fired or barred for life... As soon as I can beat the market on my own, I'm out of mutual funds... etc. |
BusinessWeek
January 12, 2004 |
The Mutual-Fund Scandals Leaving the little guy in the dark made for some nice payoffs, but the comeuppance stands to be even heftier as funds face legal actions. |
