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Registered Rep. November 3, 2003 Will Leitch	Fund Scandal Implicates Stockbrokers The mutual fund trading scandals headlines seemed to implicate mutual fund family executives and hedge funds -- everybody but individual retail brokers and brokerage management. But a new survey by the SEC charges brokers with abusive trading of mutual funds.
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
The Motley Fool July 15, 2004 Tim Beyers	SEC Hedges on Funds The Securities and Exchange Commission (SEC), in a hotly contested battle, chose to force more regulation on the fund industry. A new rule requires hedge funds to register.
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.
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.
CIO July 1, 2004 Elana Varon	Mutual Benefits To regain investor confidence and improve the bottom line, the mutual fund industry needs to integrate transactions up and down the supply chain.
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 March 22, 2004 Shannon Zimmerman	Spitzer Rides Again Chalk another one up to General Eliot Spitzer and his war on bad funds.
Knowledge@Wharton September 24, 2003	Mutual Fund Scandals: Once Again, Individual Investors Are the Losers Is the mutual fund industry going to become mired in the kind of scandal that has afflicted so many public companies over the past few years?
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.
BusinessWeek December 1, 2003 Borrus & Dwyer	The Critical Battle For Fund Reform Big investors, Congress, the SEC -- they're all swooping in to curb widespread abuses in the mutual-fund industry.
BusinessWeek November 10, 2003 Dwyer & Borrus	The Coming Mutual-Fund Reforms As mutual-fund abuses mount, regulators and lawmakers promise tough new rules.
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.
BusinessWeek December 15, 2003 Paula Dwyer	Breach Of Trust The mutual-fund scandal was a disaster waiting to happen. An inside look at how the industry manipulated Washington
CFO November 1, 2003	Wall Street Warrior Ten questions for New York Attorney General Eliot Spitzer. His one message for CFOs: "Be careful."
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?
HBS Working Knowledge October 6, 2003 D. Quinn Mills	The Problem with Hedge Funds Hedge funds are the New Big Thing -- and that's bad for the average investor, says professor D. Quinn Mills. An excerpt from Wheel, Deal, and Steal.
Registered Rep. December 16, 2005 Halah Touryalai	Former Pru Broker Penalized for Abusive Trading Three years after the SEC charged five Boston-based Prudential Securities brokers for abusive mutual fund trading, one of the accused is being temporarily barred from association with any broker/dealer or investment advisor.
Registered Rep. August 8, 2005 Stan Luxenberg	CIBC and the Murky Waters of Mutual Fund Enforcement 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 saga has begun to appear murkier.
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. May 21, 2004 Will Leitch	Roye Blasts Revenue Sharing at ICI Conference; Strong Settles The SEC's director of its investment management division delivered perhaps his strongest remarks yet on mutual fund malfeasance.
Registered Rep. April 1, 2006 Kristen French	Your Fees Under the Regulator Microscope Financial advisors had better be able to justify their fees, because regulators have been busy examining fees charged to retail clients.
Registered Rep. September 1, 2005 Karen Donovan	Under Siege Executives of broker/dealer firms are not exaggerating when they say it seems like regulators are locked into a competitive battle to collect the most pelts on Wall Street.
Financial Advisor November 2003 Marla Brill	Advisors Divided Over Fund Scandals Some think they are isolated cases; others say their faith is being tested.
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.
BusinessWeek January 19, 2004 Borrus & Dwyer	How To Crack Down On Mutual-Fund Fees The SEC should require uniform cost disclosure.
Registered Rep. February 22, 2005 Will Leitch	SEC's Roye Out as Mutual Fund Head In a move that casts doubt on the future of mutual fund regulation, the SEC has announced that its chief mutual funds legislator, Paul Roye, will step down, effective immediately.
BusinessWeek March 12, 2007 Matthew Goldstein	Homing In On Trading Abuses Do allegations that a UBS worker sold info to hedge funds signal a growing problem?
BusinessWeek December 22, 2003 Amy Borrus	Funds: Leaving Little Guys Out In The Cold The SEC's cleanup of mutual funds could shortchange small investors.
Registered Rep. February 27, 2004 David A. Gaffen	Regulators, Industry Still Divided On Mutual Funds David Brown, bureau chief of investment protection in the New York Attorney General's office, said insurance companies who sold mutual funds wrapped in variable annuities, along with banks and law firms, may end up becoming targets of Eliot Spitzer's ire in coming months.
CFO January 30, 2004 Tim Reason	Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds.
Registered Rep. December 12, 2006 John Churchill	Spitzer: Thousands of UBS Clients Raped by Wraps The New York Attorney General's Office announced today that it is suing UBS Financial Services for allegedly defrauding thousands of customers through its InsightOne fee-based brokerage program.
The Motley Fool April 16, 2004 Whitney Tilson	Funds' Dirty Little Secrets Discover more ways hedge funds and mutual funds inflate their profits at the expense of investors.
Wall Street & Technology June 4, 2004 Jessica Pallay	Fund Fixes Mutual funds are taking action to prepare for potential regulations on market timing, but there aren't any easy answers.
The Motley Fool March 2, 2005	Hedge Funds Explained While the word "hedge" conjures up images of investors cautiously hedging their bets, hedge funds are often extra-risky, volatile investment vehicles that demand huge upfront investments, sometimes in the millions.
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. November 18, 2003 Will Leitch	Senate Committee Hears Testimony about Fund Industry Each day seems to bring more news from the mutual fund industry. And industry reform is in the air. The climate is such that on Capitol Hill today even the mutual fund industry's lobbying group had to eat some crow.
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.
U.S. Banker December 2004 Lee Conrad	Compliance: Hedge Fund Registration Sparks Broad Criticism The Securities and Exchange Commission's decision to register most of the estimated 8,350 hedge funds is drawing heavy criticism from the business community and some government officials.
BusinessWeek November 17, 2003 Borrus & Dwyer	Funds Need A Radical New Design Recent mutual fund scandals show that fund boards do a poor job of protecting investors. A look at some proposals for restructuring the industry.
Registered Rep. April 1, 2004 John Churchill	Congress Moving on Mutual Funds Since the mutual fund scandals broke six months ago, Congress has been largely hands-off with regards to reform efforts, but that is changing fast.
Registered Rep. November 5, 2003 Churchill & Gaffen	Pru Market-Timing Charges Widen The investigation into mutual fund trading abuses is widening, with the release of a complaint filed by the Massachusetts Securities Division against brokers who formerly worked in Prudential Securities' hub office in Boston.
The Motley Fool January 13, 2004 Selena Maranjian	The Fund Fee Fracas Are mutual fund fees too high?
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. September 9, 2005 Stan Luxenberg	Imagine 50 Eliot Spitzers When are mutual fund companies charging too much in advisory fees? What constitutes proper disclosure of revenue sharing? And which governmental authority has jurisdiction over these issues?
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.
CFO December 1, 2003 Linda Corman	Subject to Failure Recent scandals in the mutual-fund industry leave employers questioning the security of their plans.
Wall Street & Technology October 26, 2005	Costly Timing According to a report, compliance with the SEC's regulatory response to market timing abuses - Rule 22c-2 - will cost the mutual fund industry a total of $617.5 million over the next three years.
Registered Rep. March 16, 2006 John Churchill	Bear Stearns Fined $250 Million for Securities Fraud The SEC's investigation found that from 1999 through September 2003, the firm provided technology, advice and deceptive devices that helped market timers and late traders evade the firm's own systems as well as those of mutual funds.
Knowledge@Wharton February 26, 2003	The Perils of Hedge Fund Regulation Hedge fund products are increasingly available to a broader audience than previously had access to this asset class. A barrage of news reports focused on hedge fund fraud and blowups raises the idea that regulation might provide a useful fix. So should hedge funds be regulated? No.