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Registered Rep. June 3, 2003 Will Leitch	Brokerage Chiefs in Spitzer's Sights When New York Attorney General Eliot Spitzer announced the $1.4 billion settlement of the securities conflict of interest case in April, his office warned that it was "the beginning, not the end." Wirehouses are finding out, in a big way, that he wasn't kidding.
Registered Rep. December 1, 2006 Halah Touryalai	Out with a Bang Eliot Spitzer may have less than a month left as New York State's attorney general, but the governor elect says there two new Wall Street cases he's taking on before year's end.
The Motley Fool June 13, 2005 Tom Taulli	Spitzer Slips New York's ace prosecutor loses a big financial fraud case -- the first of many? Even the U.S. Supreme Court is toughening standards for prosecuting white-collar crime.
BusinessWeek January 12, 2004	A White Knight For Mutual-Fund Investors No mutual-fund executive wants to get a phone call from Eliot Spitzer these days.
Registered Rep. September 25, 2002 Rick Weinberg	NY Attorney General: I Could Have Nailed Merrill on More Serious Charges Eliot Spitzer said he could have pursued criminal charges against Merrill Lynch for its conflicts of interest in its research, but that he didn't want to "destroy" the firm or Wall Street.
Registered Rep. January 1, 2006 Kevin Burke	Spitzer Hints Scandal Is Winding Down While Spitzer remains tight-lipped on the status of the industrywide trading investigation he launched in September 2003, he hinted that it is perhaps nearing the finish line.
Salon.com July 16, 2002 Arianna Huffington	Send the bastards to jail! Unlike the majority of nonviolent drug cases, corporate wrongdoers rarely do any time behind bars.
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...
Registered Rep. April 28, 2003 Will Leitch	Historic Settlement Doesn't Target Brokers -- But You're Hardly Home Free Now that the Wall Street global settlement is official, brokers might be inclined to heave a sigh of relief. Don't. While the settlement will have a lasting impact on the brokerage industry, brokers have been unscathed by the Spitzer investigations -- so far.
Registered Rep. March 12, 2008 Kristen French	Advisors: No Love Lost On Spitzer Eliot Spitzer, who's dramatic demise over the past few days has been covered backwards and forwards by every media outlet in the country, is not getting a lot of sympathy from the financial community.
Salon.com October 10, 2002 Damien Cave	Wall Street's worst nightmare Does New York Attorney General Eliot Spitzer really want to clean up the stock market, or just make himself look good?
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.
U.S. Banker July 2002 Michael Dumiak	Street Smart! Eliot Spitzer snuck up on Wall Street and became a force for financiers to reckon with. And he's just getting started.
CFO January 30, 2004 Tim Reason	Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds.
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.
Registered Rep. June 10, 2008	Would You Invest With Client No. 9? Eliot Spitzer, the disgraced former New York State governor once heralded as Sheriff of Wall Street, is mulling launching a distressed real estate fund.
BusinessWeek October 6, 2003 Stephen B. Shepard	Straight Talk from Eliot Spitzer The New York Attorney General speaks on the mutual-fund investigations and other issues
Registered Rep. January 1, 2007 Halah Touryalai	Spitzer Defends UBS Brokers--No, Seriously Eliot Spitzer announced in mid-December that he thinks the $89 million overtime settlement that UBS agreed to in February 2006 is unfairly distributed, and he's asking a Northern California District Court to reject the proposed settlement amount.
Registered Rep. May 29, 2007 Kristen French	Spitzer Forms Panel to Clean up NY Regulation Governor Eliot Spitzer is forming a panel to streamline regulations and make New York more competitive with London, but without sacrificing investor protection.
The Motley Fool March 22, 2004 Shannon Zimmerman	Spitzer Rides Again Chalk another one up to General Eliot Spitzer and his war on bad funds.
Knowledge@Wharton	The Merrill Lynch Settlement: Good for Merrill, Not for Investors Many say the Merrill settlement does not resolve investors' fundamental concern: the inherent conflict produced by analysts' multiple dual role of serving investors and Merrill's investment banking business.
The Motley Fool October 27, 2004 Bill Mann	When in Doubt, Decapitate Eliot Spitzer announced that the State of New York would not pursue criminal charges against disgraced insurance broker Marsh & McLennan after it promised reforms and accepted the resignation of its CEO, replacing him with a former Manhattan prosecutor.
BusinessWeek July 28, 2003 Borrus & McNamee	States vs. the SEC: What's All the Shouting for? On the surface, it looks like the fragile alliance between state and federal securities cops is crumbling. There's more -- and less -- going on here than meets the eye.
The Motley Fool December 8, 2004 Rich Smith	Spitzer for Governor? Crusading prosecutor takes aim at New York's governor's mansion.
Registered Rep. December 22, 2006 Halah Touryalai	Spitzer Wants More Settlement Dollars for New York UBS Reps New York Attorney General and Governor-elect Eliot Spitzer is asking a Northern California court to disapprove the settlement terms of an overtime suit against UBS.
Registered Rep. August 3, 2004 John Churchill	The Beginning of Reconstruction Advisors at firms involved in the settlement with the SEC are required to give clients access to research from three different independent providers. What impact will this have on investors and the reputations of advisors?
Reason February 2006 Jacob Sullum	Better Not Shop Around Internet retailing threatens to cut into the profits of the shady characters who make a living trucking cigarettes from low-tax to high-tax states. But cigarette smugglers have found an unlikely ally: New York Attorney General Eliot Spitzer.
The Motley Fool May 21, 2004 Paul Elliott	Call That Strong Medicine? Richard Strong and Strong Capital Management settle with Spitzer over market timing of the Strong funds. Was the penalty harsh enough?
The Motley Fool August 5, 2004 Tim Beyers	Will Lawsuit Hurt Express Scripts? Although investors seem to be over the initial jitters arising from Express Scripts' problems, the stock is still down more than 12% since New York Attorney General Eliot Spitzer filed a lawsuit accusing the pharmacy benefits manager of fraud.
The Motley Fool October 26, 2004 Rich Duprey	Aon Mired in Marsh World's second-largest insurance broker accused of improper business practices.
InternetNews March 23, 2006 David Miller	N.Y. AG Takes on Privacy Fight With Gratis New York Attorney General Eliot Spitzer has filed suit against Web site operator Gratis Internet over personal information.
Registered Rep. April 1, 2008	Spitzenfreude Some on Wall Street think that Eliot Spitzer had it coming.
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.
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.
CFO November 1, 2003	Wall Street Warrior Ten questions for New York Attorney General Eliot Spitzer. His one message for CFOs: "Be careful."
Registered Rep. January 1, 2006 Dan Reingold	The Insiders' Game This author and Wall Street analyst concludes in his new book, Confessions of a Wall Street Analyst, that we'll never get a clear read on exactly where some insiders went wrong and whether our securities laws, regulations and sanctions are sufficient to deter such behavior in the future.
The Motley Fool January 9, 2004 Bill Mann	Spitzer in Need of Update You'd think the New York attorney general's office would offer more warnings about Wall Street's wrongdoers.
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
BusinessWeek August 21, 2006 Michael Orey	Lots Of Evidence, No Verdict Invaluable reformer or prosecutor run amok? The author lets the reader decide.
InternetNews January 30, 2007 Ed Sutherland	Travel Companies, Cingular Settle Adware Case Three online advertisers have to pony up $100,000 and promise to stop using controversial adware as part of a settlement with New York State's Attorney General.
Registered Rep. December 2, 2003 Will Leitch	Spitzer, OCC Issue Corporate Death Penalty The news came right before the Thanksgiving holiday, so you might have missed it. But let there be no doubt: The mutual fund investigations have now gone nuclear.
Registered Rep. December 1, 2004 David A. Gaffen	Quietly Active The annual Securities Industry Association conference exuded an odd serenity, at least until the speakers invoked the name of Eliot Spitzer.
Knowledge@Wharton	What's Wrong With Spitzer's Solution to Analyst Bias? Experts on the financial markets disagree over how bad the stock-analyst bias problem is today. But few find much good to say about Eliot Spitzer's approach.
The Motley Fool September 8, 2004 Tim Beyers	INVESCO Moves On The fund firm and partner AIM Investments agree to a $450 million settlement.
Registered Rep. April 1, 2005 John Churchill	Merrill Takes a Late Hit on Research Scandal An NASD arbitration panel ordered Merrill Lynch to pay more than $1 million to an investor last month for hiding conflicts of interest and issuing fraudulent research.
Registered Rep. August 7, 2008 John Churchill	Citi Settles With SEC and Cuomo Over ARS Failure The firm has agreed to buy back auction rate securities sold to institutional and retail investors nationwide who've been stuck with the illiquid investment vehicles since February 12, 2008.
BusinessWeek May 16, 2005 Amey Stone	Still Outside Looking In Independent stock analysts hoped to cash in on the Spitzer pact. What went wrong?
Registered Rep. October 22, 2003 Will Leitch	Hard Words from Tom James for After-Hours Traders Investors angry about mounting evidence of mutual fund trading irregularities have nothing on Raymond James chairman and CEO Tom James. "It's fraud, plain and simple," James says of the after-hours and market-timing trading practices exposed in investigations by Eliot Spitzer.
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?
Bank Systems & Technology March 18, 2009 Orla O'Sullivan	AIG Uproar Sees Spitzer Weigh In The real disgrace in what A.I.G. did with almost $200 billion in government bailouts was not the payment of executive bonuses, but payments to banks, Eliot Spitzer said in an interview Wednesday morning.