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Financial Planning
February 1, 2007
Lynn Hume |
The Bond Buyer The Justice Department and SEC investigations of municipal-bond-related investments and derivatives will overshadow, if not dominate, much of what happens on the securities side of the muni market during the coming year.   |
Registered Rep.
April 15, 2008 |
Bear's Q1 Earnings Bad, But Retail Did Well Bear Stearns can't seem to go down quietly. |
BusinessWeek
April 1, 2010
Martin Z. Braun |
Can the SEC Get Its Street Cred Back? Elaine Greenberg is investigating abuses in the muni bond market, as the commission tries to rebuild trust. |
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. |
InternetNews
April 8, 2004
Jim Wagner |
Former CA Execs Facing Up To Fraud Charges Former Computer Associates CFO Ira Zar and two others expected to plead guilty in court Thursday. |
The Motley Fool
May 23, 2008
Tom Hutchinson |
Another Black Eye for AIG These are dark days for the insurance giant. In the latest news, former AIG chief executive Maurice "Hank" Greenberg might face civil charges for an alleged role in improperly inflating AIG's loss reserves. |
The Motley Fool
May 12, 2010
Rich Duprey |
Moody's Goes Rogue Ratings agency fails to disclose receipt of SEC investigation notice as CEO dumps stock. |
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. |
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
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
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. |
The Motley Fool
May 18, 2004
Rich Smith |
Lucent's Cloudy Picture Lucent settles one out of three SEC investigations it's facing. |
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. |
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. |
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. |
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.
July 15, 2009
David A. Geracioti |
SEC Hits Morgan Keegan With Wells Notice A Wells notice states that the SEC intends to bring enforcement actions for possible violations of federal securities laws. |
The Motley Fool
January 25, 2005
Rich Smith |
Corinthian Exonerated Educator's stock rises as the SEC calls off its dogs. |
The Motley Fool
May 12, 2010
Alex Dumortier |
Morgan Stanley Wishes It Weren't Like Goldman U.S. prosecutors are investigating whether Morgan misled investors in mortgage derivatives; similar to the charges against Goldman Sachs. |
Investment Advisor
August 2009 |
B/D News Broker/Dealer news: SEC Enforcement... BOA and broker protocol... FINRA surveys retail sales practices... |
Registered Rep.
June 3, 2009
David Geracioti |
ARS Games -- SEC Blames Firms, Settles with BAC, RBC and DEUTSCHE When the auction rate securities market froze up in February 2008, angry clients blamed their financial advisors. |
Financial Planning
August 1, 2008
Andrew Ackerman |
In First, Mass. Sues UBS In the first state-level lawsuit against an investment firm over auction-rate securities, Massachusetts has filed securities fraud charges against UBS for selling retail investors auction-rate paper as "liquid, safe, money-market" instruments even though the defendants knew it was not. |
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. |
Registered Rep.
September 3, 2008
John Churchill |
Brokers Charged In Fraudulently Selling $1bn Of ARS To Retail Clients In the first case of its kind, the SEC announced today that it has charged two individual financial advisors with fraud related to the sale of more than $1 billion in auction-rate securities. |
CFO
January 30, 2004
Tim Reason |
Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds. |
InternetNews
May 17, 2004
Colin C. Haley |
Lucent Settles SEC Complaint The company looks to eliminate distractions in an improving climate for network equipment. |
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. |
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. |
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. |
The Motley Fool
August 17, 2005
Rich Duprey |
SEC Nails Goodyear North America's largest tire maker gets a Wells Notice over accounting issues. What will it mean to investors? |
BusinessWeek
January 17, 2005 |
The SEC Targets A Mexican Tycoon Saying that "geographic boundaries will not serve to protect those who seek to defraud investors," the U.S. Securities & Exchange Commission on Jan. 4 filed civil charges against TV Azteca, Mexico's No. 2 broadcaster. |
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. |
The Motley Fool
December 18, 2003
Jeff Hwang |
Take-Two Tanks on SEC Notice Possible civil charges and an earnings warning overshadow a strong fourth quarter. |
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. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
The Motley Fool
August 31, 2004
W.D. Crotty |
A Mirage or a Great Speculation? United Rentals' stock sinks sharply as the SEC investigates the company. |
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
August 1, 2009
Mark Astarita |
Changes at the SEC: Schapiro Should Be Benefit to Advisors One can expect that as head of the SEC Mary Schapiro will understand the impact of new rule proposals and enforcement initiatives and will temper the calls for more extreme changes that would ultimately harm the markets and the financial industry. |
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. |
Registered Rep.
December 11, 2008 |
SEC Finalizes $30 Billion ARS Settlement With Citi And UBS The $30 billion settlement is the largest in SEC history and restores liquidity to ARS investors at par value of their holdings. |
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
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. |
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. |
Investment Advisor
January 2009
Kara P. Stapleton |
B/D Briefings News & Products News, products, and information of interest to broker/dealers. |
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. |
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? |
Investment Advisor
March 2009
Melanie Waddell |
When It Pays to Fight City Hall An annual analysis of litigated disciplinary proceedings brought by the SEC and FINRA against broker/dealers and registered representatives shows that it sometimes pays for B/Ds and reps to litigate against the regulators. |
The Motley Fool
August 23, 2006
Tim Beyers |
Meet the SEC If you're an investor, you have a friend. His name is EDGAR (the acronym for the database hosted by the Securities and Exchange Commission). |
Registered Rep.
May 8, 2008 |
UBS Needs A Lift Ticket UBS is facing serious scrutiny by the Securities and Exchange Commission and the Department of Justice to determine whether or not the bank aided clients in committing tax evasion from 2000 to 2007. |
InternetNews
December 21, 2010 |
SEC Investigating ex-HP CEO Mark Hurd The SEC is looking into charges that Hurd may have leaked confidential information to a contractor. |
