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On Wall Street
September 1, 2012
Ken Corbin |
FINRA Penalties Soar in 2012 Suitability infractions were the most common source of FINRA s disciplinary actions   |
Registered Rep.
November 21, 2007
Halah Touryalai |
SEC Fines At Four-Year Low The fall in fines comes after complaints from Republican commissioners and business groups that say the penalties hurt investors. Meanwhile, Democrats say the heavy fines deter fraud. |
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. |
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? |
Registered Rep.
March 15, 2013
Megan Leonhardt |
A "Tougher" FINRA? FINRA has stepped up the number of cases and the value of fines they levied against advisors last year, but that doesn't neccessarily mean that the indstury's self-regulatory organization is getting any tougher. |
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? |
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.
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.
September 21, 2007
Halah Touryalai |
Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers. |
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. |
Financial Planning
November 1, 2009
Robert Pozen |
Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors. |
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. |
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? |
Financial Advisor
September 2012 |
Finra Fines On Pace To Exceed 2011 Totals Financial Industry Regulatory Authority fines and disciplinary actions for 2012 are on track to significantly outpace those for 2011, according to a midyear review from the law firm Sutherland Asbill & Brennan LLP. |
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. |
The Motley Fool
June 12, 2006
Anders Bylund |
Options Inquiry Weighs on Openwave A beleaguered cell-phone software maker faces lawsuits for wrongs as-yet unproven. For now, investors must wait and see what the internal and external investigations find in Openwave's books. |
Registered Rep.
July 17, 2006
John Churchill |
Research Still a Problem, NASD Fines Three Firms Fines issued to Citigroup, Credit Suisse and Morgan Stanley are the result of the firms' failures to review and certify proper disclosure of price target valuation methods and risks, despite repeated warnings from NASD. |
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. |
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. |
Registered Rep.
May 1, 2004 |
Cutting the Pace of Cost-Cutting New numbers from the Securities Industry Association suggest that cost-reduction efforts are easing. |
Investment Advisor
August 2010
Marlene Y. Satter |
The FINRA Blotter FINRA news: The law firm of Sutherland Asbill & Brennan completed in early July its annual review of disciplinary actions brought by FINRA. |
Wired
February 2002
Adam Lashinsky |
The Post-Enron Economy Sometimes it takes a meltdown to force regulators into action... |
On Wall Street
April 1, 2011
Bennett Voyles |
FINRA Prosecutes More But Collects Less The rise in the number of actions could be related to increased regulatory pressure. |
Wall Street & Technology
August 22, 2006
Cory Levine |
Mark Tolani to Head Development at Cohen Bros. Cohen Brothers, a boutique investment bank specializing in collateralized debt obligations, hired Mark Tolani for the newly created position of global head of IT development. |
InternetNews
December 15, 2005
Roy Mark |
Merry Christmas From The RIAA The music industry dropped 751 copyright-infringement lawsuits in the mail today, bringing the total number of legal actions this year against alleged peer-to-peer infringers to more than 7,000. |
InternetNews
May 27, 2005
Roy Mark |
No Summer Break From The RIAA The music industry targets lawsuits at students using high-speed, second-generation university networks to swap music files. |
InternetNews
February 27, 2006
Clint Boulton |
EMC Turns a Legal Eye on Compliance Seeking to address the pain points associated with respond for legal requests for information, EMC today unveiled a bundle of storage hardware, content management software and services to help businesses pinpoint electronic files. |
