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Registered Rep.
June 22, 2009
John Churchill |
Sir Allen Stanford Indicted Allen Stanford, the flamboyant 59-year-old billionaire CEO of the Stanford Group Companies was indicted Friday on charges of conspiracy to commit securities, mail and wire fraud.   |
Registered Rep.
February 17, 2009 |
News Roundup: $8 Billion Fraud, Market Tests Lows And Michael Moore "Investigating" Wall Street Robert Allen Stanford and three of his financial companies have been charged with orchestrating an $8 billion fraud...Michael Moore looking for Wall Streeters... A cartoon video... |
Investment Advisor
October 2009
Melanie Waddell |
SEC Criticized for Madoff Congress chides the SEC for the scathing inspector general report on Bernie Madoff. |
The Motley Fool
November 14, 2011
John Reeves |
Wrist Slaps All Around at the SEC The SEC disciplines its employees who were involved in the Madoff case. |
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. |
Registered Rep.
April 27, 2009
John Churchill |
The Anatomy of an Alleged Fraud The SEC hasn't yet charged Allen Stanford with a crime, but it would seem the regulator is getting much closer, especially after the mountain of damning findings that the court appointed receiver filed in a Dallas court. |
Registered Rep.
March 4, 2009
John Churchill |
SEC Sued by Stanford Group Advisors for Violation of Constitutional Rights The SEC has frozen client accounts of Stanford Financial Group advisors, and has ordered them not to communicate with their clients. The advisors are fighting back. |
Registered Rep.
February 20, 2009
Kristen French |
News Roundup: BofA's Lewis Subpoenaed; Ponzi Pileup! Stanford Investigated For Ponzi Scheme; Morgan Still Poaching Brokers; Even Sin Businesses Take A Hit Another banking-chief head may be set to roll... A list of Ponzi schemers... Sin stocks lower... Morgan Stanley poaches brokers... |
InternetNews
December 5, 2007
Larry Barrett |
Novell Delivers a Different Kind of Earnings Surprise Novell caught everyone unawares this morning when it failed to report its fourth-quarter and year-end results. |
CFO
November 1, 2009
Alix Stuart |
An Agency Ready to Roar? The SEC under new chief Mary Schapiro has gotten off to a slow start on the enforcement front, but attorneys expect a burst of energy in 2010. |
InternetNews
November 16, 2006
Ed Sutherland |
Dell Delays Q3 Report as SEC Probe Turns Serious Confirming a formal SEC probe, Dell delays its third quarter financial statement. |
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.
June 18, 2010
Bill Singer |
The UK Junks Its FSA, When Will We Junk The SEC The SEC is a gas-guzzling dinosaur of a vehicle whose engine warning-light went on years ago. It is a wheezing, dyspeptic boiler in our basement. Nothing good will come of this. |
Investment Advisor
April 1, 2011
Melanie Waddell |
GOP's End Game in Nixing SEC Funds: Stopping Dodd-Frank Republicans' rehashing of supposed failures at the SEC is 'counter-productive,' says former Chairman Harvey Pitt |
The Motley Fool
March 24, 2009
Smith & Bleeker |
Who's More to Blame: Congress or the SEC? March Stock Madness -- Second Round: Let's bullet-point some of the failures of both Congress and the SEC to determine which is more to blame for the current crisis. |
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? |
Investment Advisor
January 2009
Jeff Joseph |
More Regulation Post-Madoff? The only thing they are certain of is that his alleged Ponzi scheme. |
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. |
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. |
The Motley Fool
December 15, 2008
Alex Dumortier |
Avoiding the Next $50 Billion Ponzi Scheme The scandal and scope of Bernard Madoff's fraud is a further blow to the financial sector's reputation. |
Investment Advisor
March 2009
James J. Green |
News: SEC's Top Cop Linda Chatman Thomsen, the director of the SEC's Division of Enforcement, said February 9 that she would leave the Commission and return to the private sector. |
Registered Rep.
June 22, 2009
David A. Geracioti |
Madoff Had Help Running His Fraud, Says SEC The SEC today indicted four individuals for helping Bernie Madoff in his colossal Ponzi scheme. One of the individuals was a registered rep and a second was an investment advisor. |
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. |
Investment Advisor
February 2009
Melanie Waddell |
Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization. |
Registered Rep.
July 24, 2007
John Churchill |
SEC to RIAs: Welcome In keeping with regulators trying to be more proactive and less reactive, the SEC is cozying up to newly registered investment advisers. |
BusinessWeek
April 22, 2010
Jonathan Weil |
Goldman Slapped A civil suit and a Senate scolding won't be enough to make Wall Street's wealthiest firm fly right. |
Investment Advisor
May 2010
Melanie Waddell |
30 for 30 Interviews: Harry Markopolos Independent financial fraud investigator Harry Markopolos identifies strengths and weakness of the SEC. |
Investment Advisor
August 2010
Melanie Waddell |
Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision. |
BusinessWeek
July 29, 2010
Jesse Westbrook |
Whistleblowers Get a Raise The SEC will offer up to 30 percent of the money from fines to reward tipsters. |
The Motley Fool
October 8, 2010
Travis Hoium |
Fuqi International Shares Popped: What You Need to Know I am wary of any company being investigated by the SEC, so watch that you don't get caught in an avalanche if it finds something. |
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. |
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
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. |
Investment Advisor
September 2009
Melanie Waddell |
SEC Bulks Up Enforcement The Securities and Exchange Commission is moving at a rapid pace to repair its sullied reputation after being lambasted by Congress for failing to stop the Bernie Madoff Ponzi scheme. |
CFO
May 1, 2010
Sarah Johnson |
The SEC Has a Few Questions for You This is the envelope no CFO looks forward to opening, even if the inquiry proves to be fairly routine. |
Registered Rep.
February 25, 2009
John Churchill |
More Multi-Million Dollar Ponzis and Thousand-Dollar Teddy Bears! DOJ, SEC Bust and Freeze Assets of "Commodity Traders" Three new recent charges made by the SEC regarding alleged Ponzi schemes. |
Financial Planning
March 1, 2007
Glenn G. Kautt |
SEC Audit, Part Deux An SEC audit is like a visit to the dentist: The anticipation is scarier than the actual event, but a little pain is inescapable. Here is a recount from a financial planning firm's chief compliance officer of his recent audit experience. |
Registered Rep.
September 23, 2008 |
SEC Charges Miami Broker Gary Gross Gary Gross has been charged with fraud by the SEC for selling his elderly clients unsuitable investments. |
Registered Rep.
May 10, 2007
Kristen French |
SEC Impostors on the Loose The SEC issued an alert to securities industry firms, warning them to keep an eye out for impostors -- individuals pretending to work for the SEC. |
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. |
Financial Planning
July 1, 2008
Jane Worthington |
Deficiency Letter 411 The SEC is running a pilot program to develop a standardized approach to the SEC deficiency letters presented to firms after an SEC examination. |
BusinessWeek
March 21, 2005
Amy Borrus |
Wall Street's Dirty Rotten Little Scoundrels The SEC has a new plan to turn up the heat on small-time Wall Street fraudsters. |
Registered Rep.
April 1, 2006
John Churchill |
Blotter Regulators Collar Bear... Pattern of Abuse... Junk Fax Scalping... Judge Freezes Ponzi Scheme... |
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.
February 4, 2009 |
SEC, FINRA, Hit Hard By Markopolos Testimony The famously ignored Madoff whistleblower testified before the House Financial Services Committee that the SEC is "incompetent," among other things -- and had even harsher words for FINRA. |
On Wall Street
November 1, 2009 |
Marcia Kramer Mayer Marcia Kramer Mayer of NERA Consulting speaks about how the SEC should look to the example set by the IRS, which uses computerized searches to identify investment fraud problems. |
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. |
Investment Advisor
April 2009
Melanie Waddell |
All About Enforcement It's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm |
BusinessWeek
September 30, 2010
Jesse Westbrook |
The Accounting Board Is a Sinecure Qua Non Consumer advocates say the accounting oversight board's record is a cautionary tale for the Consumer Financial Protection Bureau. |
Registered Rep.
March 11, 2009
Halah Touryalai |
Extreme Makeover: SEC With or without an increased budget, the SEC wants to make up for its shortcomings. |
