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The Motley Fool January 16, 2008 Rich Duprey	Lawyers Hit a Brick Wall in StoneRidge Supreme Court rules against trial attorneys' bid to sue third parties.
U.S. Banker July 2007 Karen Krebsbach	Next for Top Court: Securities Fraud Whether banks that help public firms commit fraud are also liable soon will be a question before the Supreme Court. Its decision will affect litigants in the still-simmering Enron case.
The Motley Fool January 10, 2012 Lawrence Greenberg	Why Congress Isn't Liable for Insider Trading Has Congress exempted itself from the laws that send ordinary Americans to jail if they engage in insider trading?
CFO September 1, 2002 Lori Calabro	I Told You So To controversial securities litigator Bill Lerach, the current wave of corporate fraud scandals was both inevitable and preventable.
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.
The Motley Fool May 27, 2004 Bill Mann	Dick Strong: How Sorry Are You? With Wells Fargo buying his company, Strong can now pay a big SEC fine out of his lint drawer.
Registered Rep. July 1, 2005 Christopher O' Leary	The Fund Family That Said No While in the past few years many funds sued by regulators have been quick to settle, American, the second-largest fund family in the U.S. with $650 billion in assets is fighting back.
InternetNews February 22, 2007 Clint Boulton	Veritas Dinged For $30M Veritas Software will fork over cash to investors harmed in fraudulent financial schemes.
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?
Reason October 2003 Michael McMenamin	St. Martha Why Martha Stewart should go to heaven and the SEC should go to hell.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You Securities regulation helps guard investors against fraud.
Pharmaceutical Executive July 1, 2005 Palmer & Hammel	Legal Forum: Loss Causation Through the Dura Pharmaceuticals case, the Supreme Court finds that investors can't sue based on alleged price inflation alone.
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.
InternetNews September 22, 2004 Jim Wagner	Former CA CEO Indicted Sanjay Kumar is charged with securities fraud, conspiracy and obstruction offenses, while his former company Computer Associates strikes a deal to avoid court.
BusinessWeek June 18, 2007 Dawn Kopecki	Backdating: Why Penalties Are Puny The SEC considers options violations less serious than other kinds of financial fraud.
Reason April 2004 Anderson & Jackson	Washington's Biggest Crime Problem The federal government's ever-expanding criminal code is an affront to justice and the Constitution.
Knowledge@Wharton Richard Shell	It's About Time: Corporate Responsibility Law Finally Makes Lawyers More Accountable Although the reputations of CEOs, accountants, bankers, analysts, and even consultants have suffered during the recent spate of corporate scandals, lawyers so far have escaped blame, let alone indictment. But that may change, as it should.
Registered Rep. June 1, 2012 Kristen French	Blotter: June 2012 Mark Spangler, Nicholas Louis Geranio, and David Blech have each violated federal securities laws.
Registered Rep. June 19, 2007 Christina Mucciolo	Investment Banks Win Major Antitrust Victory Investors claimed the banks manipulated the IPO market in the dot-com boom years between 1997 and 2000.
InternetNews June 18, 2007 Roy Mark	Court Takes IPO Underwriters Off the Antitrust Hook Wall Street investment firms that helped bankroll the high-tech IPO boom of the 1990s are immune from antitrust suits, the U.S. Supreme Court ruled Monday.
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?
The Motley Fool April 21, 2004 Bill Mann	Attack of the Killer Attorneys It's inevitable in every investor's career that he or she will hold a company that will attract class action lawsuits alleging some form of securities fraud.
Bank Technology News October 2009 James Van Dyke	Consumers Do Want to Be Partners in Security While many bankers and technology professionals profess a belief that individuals can't be motivated to protect themselves, new Javelin research shows that more than eight in 10 online bankers view security as a shared responsibility.
The Motley Fool April 27, 2006 Rich Duprey	The Minefield of Related-Party Transactions Beware of companies that enter cozy business deals with friends and family. Investors, develop your own cozy relationships with companies that don't need to fritter away shareholder resources on favored friends and relatives.
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?
Global Services January 24, 2008	Negotiating Service Deals with Equity Services transactions with an equity component are complicated and are associated with a wide range of risks factors. However, they can create positive financial returns if structured carefully. Here are a few guidelines on how to structure such transaction agreements.
BusinessWeek June 22, 2011 Greg Stohr	Wal-Mart Case: Another Loss for Trial Lawyers The Supreme Court's ruling is the latest in a series of decisions that make it clear the justices aim to curb mass litigation.
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?
On Wall Street February 1, 2011 Alan J. Foxman	Reading The Fine Print Advisors write in for legal advice regarding contracts, client lawsuits, non-compete agreements and other concerns.
CFO April 1, 2004 Ronald Fink	Playing Favorites Why Alan Greenspan's Fed lets banks off easy on corporate fraud.
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.
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.
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 July 9, 2007 Michael Orey	The Supreme Court: Open For Business The Roberts Court is showing a willingness to referee corporate concerns.
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.
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.
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.
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...
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.
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.
The Motley Fool September 22, 2004 Bill Mann	Three Financials Behaving Badly With each of these three massive financial institutions, representing the largest banking, mortgage, and insurance participants respectively, the taint of ongoing fraud ought to make minority shareholders awfully nervous.
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.
Investment Advisor July 2006	Group Think Starting July 1, NAPFA will launch its "Focus on Fiduciary" campaign... A recent member-wide survey of the FPA found that its members believe that financial planners should be held to a fiduciary standard.... etc.
The Motley Fool February 9, 2007 Dan Caplinger	Millionaires Need Protecting, Too Regardless of how this issue plays out, expect continuing friction between the SEC and the hedge-fund industry. In the meantime, if you want to use alternative investments, you'd best get started toward the new $2.5 million mark.
Registered Rep. September 2, 2009 John Churchill	SEC Blew It With Madoff, Inspector General Says SEC Chairman Mary Schapiro announced the release today of the Office of the Inspector General's report on the Bernard Madoff fraud. It says, in short, the SEC screwed up in every way possible.
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 May 1, 2005 Lori Calabro	In Your Own Defense Why representing finance executives in lawsuits is both an art and a science.
Salon.com May 17, 2002 Damien Cave	Lock up the analysts and throw away the key An investor who followed expert advice lost $100,000. He wants vengeance, but history suggests he's not likely to get it...
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.
IEEE Spectrum January 2006 Trope & Power	The Lessons of MGM v. Grokster For creators of innovative technologies and as a consequence of the copyright-infringement suit, the line between corporate liability and being at rest in a safe harbor was moved and remains imprecise. However, the Supreme Court opinion contains substantial guidance.