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The Motley Fool September 21, 2004 Tim Beyers	Franklin Can't Come Clean Massachusetts gets a $5 million settlement as the fund firm admits that an investor engaged in market timing.
The Motley Fool August 3, 2004 Tim Beyers	Franklin's Unsettling Settlement The fund firm brokers a nearly meaningless deal with regulators. The $50 million penalty seems anything but serious when compared with the settlements agreed to by firms that have truly humbled themselves.
Registered Rep. June 14, 2007 Kevin Burke	Pilgrim Baxter's Payback The SEC announced this week that it is returning ill-gotten gains to Pilgrim Baxter (investment advisor to the PBHG fund family) shareholders, three and half years after the fund company was engulfed in a trading scandal.
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 June 5, 2007 Rich Duprey	SEC Backs Scheme Liability In an effort to deflect the criticism that it's too pro-business, the SEC has decided to back a theory that may ultimately prove to be a particularly shareholder-hostile action.
The Motley Fool June 4, 2004 W.D. Crotty	A Beautiful Fraud Bar-code reader and radio frequency identification system maker Symbol Technologies announced that it will pay $42 million in cash and $96 million in stock to settle investigations by the U.S. Attorney's Office and the Securities and Exchange Commission.
BusinessWeek November 10, 2003 Dwyer & Borrus	The Coming Mutual-Fund Reforms As mutual-fund abuses mount, regulators and lawmakers promise tough new rules.
The Motley Fool May 18, 2004 Rich Smith	Lucent's Cloudy Picture Lucent settles one out of three SEC investigations it's facing.
The Motley Fool April 13, 2004 Nathan Slaughter	Watching for Wily Offers General Mills urges its stock owners to reject a below-market tender offer.
The Motley Fool September 22, 2004 Bill Mann	Three Financials Behaving Badly With each of these three massive financial institutions, representing the largest banking, mortgage, and insurance participants respectively, the taint of ongoing fraud ought to make minority shareholders awfully nervous.
The Motley Fool April 2, 2004 Shannon Zimmerman	SEC: Toothless No More? Is the SEC getting serious about fund industry reform?
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.
Bank Systems & Technology October 10, 2008 Maria Bruno-Britz	Wells Fargo Victorious in Wachovia Battle Wells Fargo given the go ahead to continue with Wachovia buyout. The purchase means the creation of a stronger coast-to-coast banking franchise.
The Motley Fool November 11, 2011 John Reeves	Banks Promise Not to Commit Fraud ... Until Next Time Banks have been signing pledges that they do not follow through on.
The Motley Fool December 14, 2006 Emil Lee	Fool on the Street: If I Could Be Like Wells Fargo Investors, anytime Warren Buffett owns a big stake in a company, you know there's something special about it. And at a recent Goldman Sachs financial services conference, the CEO demonstrated why Wells Fargo is the best bank in the world.
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.
The Motley Fool July 23, 2004 Tim Beyers	Can Janus' News Get Worse? The company's latest report was unfavorable. Are more dreary days ahead, or is the mutual fund manager readying for a revival?
The Motley Fool April 4, 2005 Selena Maranjian	Bank vs. Bank Annual reports can reveal more than they intend to. Take a look at Fifth Third Bank as compared to Wells Fargo's. In any letter to shareholders, there are items investors need to look at.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You Securities regulation helps guard investors against fraud.
Registered Rep. March 5, 2009 Halah Touryalai	"Look Ma, Me Regulate!" No Retention Bonuses from Wells Fargo. Exceptions Apply; Merrill Bonus Saga Continues In its latest effort to prove its effectiveness, the SEC says it wants to reevaluate the rules governing credit-rating agencies.
The Motley Fool April 28, 2004 W.D. Crotty	Feeling Nortel's Pain Before today's open, Nortel announced that its president and CEO had been "terminated for cause." Those are three words you never want to hear because they always mean bad news. But it gets worse. Also terminated with cause were the chief financial officer and controller.
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.
The Motley Fool April 23, 2004 Phil Wohl	Wells Fargo Opens the Vault Wells Fargo announced record earnings on Tuesday, and big banks such as Bank One, U.S. Bancorp, Bank of America, and Washington Mutual have all reported extremely positive results in recent months.
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.
Reason October 2003 Michael McMenamin	St. Martha Why Martha Stewart should go to heaven and the SEC should go to hell.
The Motley Fool January 10, 2012 Lawrence Greenberg	Why Congress Isn't Liable for Insider Trading Has Congress exempted itself from the laws that send ordinary Americans to jail if they engage in insider trading?
Registered Rep. April 1, 2005 Stan Luxenberg	A Benign Disaster? An academic, hired by Putnam to calculate losses attributable to market-timing and excessive trading, reckons the number is $4.4 million, not the $110 million Putnam agreed to pay the SEC and Massachusetts regulators.. And that includes interest.
BusinessWeek September 22, 2003 Der Hovanesian et al.	How to Fix the Mutual Funds Mess Hidden fees, lax boards, and now scandal. Here's what has to be done.
Registered Rep. April 1, 2006 Stan Luxenberg	To Define a Theft For all the uncertainties, the SEC continues battling the mutual fund market-timing problem. After the scandal broke, the regulator promised tough moves to stop the questionable trading. But so far, the pace of change has been slow.
The Motley Fool October 21, 2008 Morgan Housel	Why Wells Fargo Really Wanted Wachovia Why was Wells Fargo so eager to ante up a deal for Wachovia? Taxes. It was all about taxes.
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
The Motley Fool April 13, 2004 Tim Beyers	Janus Pays Up The mutual fund company CEO gets a $3.4 million bonus for 2003. Is he worth it?
BusinessWeek May 20, 2010 Jesse Westbrook & David Scheer	How Big a Hit Will Goldman Take? Congress and the public expect the SEC to extract a big fine
Registered Rep. June 1, 2012 Kristen French	Blotter: June 2012 Mark Spangler, Nicholas Louis Geranio, and David Blech have each violated federal securities laws.
Registered Rep. December 3, 2009 Kristen French	Shapiro Calls For Aggressive 2010 Reform Agenda In her remarks before the Consumer Federation of America, SEC Chairman Mary Schapiro reiterated her commitment to creating a "strong fiduciary standard" for all securities professionals.
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 19, 2011 Jerry Gleeson	Wells Fargo Brokerage Sees Higher 4Q Assets, Revenue WBR "is an increasingly important growth business for us, and an increasingly important source of cross-selling," Chief Financial Officer Howard Atkins said on a conference call with analysts.
The Motley Fool January 17, 2007 Rich Duprey	Digital River Bound for Rough Waters? The e-commerce outsource provider may have lurking backdating concerns. Investors, take note.
The Motley Fool May 14, 2004 Selena Maranjian	Shareholders Take Action Here are some tips on how to make a difference with your holdings.
The Motley Fool August 24, 2004 Seth Jayson	Shell Shocked? SEC announces a settlement with Royal Dutch Petroleum and Shell Transport over inflated reserves. Long-suffering investors are wondering if this might finally clear the air.
Registered Rep. October 3, 2008 Kristen French	Wachovia Hooks Up with Wells Fargo; Citi Says Wachovia In Breach Citigroup's deal with Wachovia gets ousted over the new deal with Wells Fargo. Wachovia shareholders and advisors are relieved.
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
BusinessWeek October 21, 2009 Farzad & Francis	The SEC's Tough New Offensive on Insider Trading It's using wiretaps, informants, and high-tech software, as well as teaming with key federal prosecutors, to nab wrongdoers fast.
The Motley Fool March 16, 2004 Selena Maranjian	How Companies Go Public A basic description of how companies raise money through an initial public offering, or IPO.
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.
The Motley Fool May 10, 2004 Rich Smith	When Cheating Is an Option The Charter One acquisition by Royal Bank of Scotland may spawn yet another insider-trading scandal.
The Motley Fool April 6, 2004 Shannon Zimmerman	Surviving the Fund Scandal Times are tough for fund investors, but they're about to get better. An unfolding mutual fund scandal is paving the way for serious reform.
The Motley Fool March 16, 2004 Seth Jayson	Dollar General Dodges Bullet The discounter pays its way out of an SEC bookkeeping imbroglio with the usual spineless settlement.
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 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.