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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.
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.
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?
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.
Registered Rep. December 1, 2006 Stan Luxenberg	Payback Time Still As punishment for the market-timing scandals, the SEC and other enforcers collected fines from 20 fund companies. Four fund companies have filed plans with the SEC to distribute the cash to shareholders. But so far the money sits waiting until the plans are approved.
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
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. January 1, 2007 Stan Luxenberg	No Redemption After discovering the fund market-timing scandals in 2003, regulators suggested boosting redemption fees. But lately, fee proponents have been losing their enthusiasm. The SEC decided not to make the fees mandatory.
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?
Registered Rep. August 1, 2005 Stan Luxenberg	The Price of Redemption By monitoring suspicious trading and using other techniques, funds may go a long way to protecting shareholders from the costs of rapid trading.
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. 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.
BusinessWeek September 22, 2003 Anne Tergesen	How Traders Play the Timing Game Finance professor Jason Greene explains why this technique hurts buy-and-hold fund investors and how to protect yourself
BusinessWeek January 19, 2004 Borrus & Dwyer	How To Crack Down On Mutual-Fund Fees The SEC should require uniform cost disclosure.
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. 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. December 1, 2004 Stan Luxenberg	Is the Juice Worth the Squeeze? The overhaul of the mutual fund industry spearheaded by Eliot Spitzer is widely viewed as a victory for investors, but some analysts are challenging that notion.
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.
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.
BusinessWeek November 10, 2003 Jeffrey M. Laderman	Mutual Funds: What To Do Now Wondering how to cope with the growing scandal? Here are some answers.
The Motley Fool April 18, 2007 Amanda B. Kish	The SEC Gets It Right The agency revisits governance rules and fees for mutual funds.
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.
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. 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 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.
Financial Advisor February 2004 Tracey Longo	Facing The Confidence Crisis How you can help clients deal with the mutual fund scandals.
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.
The Motley Fool July 6, 2005 Tom Taulli	Donaldson's Last Stand William Donaldson made his mark on the SEC -- up until his last day in office. Interestingly, even the U.S. Court of Appeals had concerns about the new mutual fund regulations.
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?
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.
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. July 25, 2007 Kevin Burke	Smith Barney Fined $50 Million for Market Timing; More Firms, Reps To Be Fined So you thought the market timing scandal was over? Think again.
BusinessWeek October 18, 2004 Anne Tergesen	In Your Fund Manager On Your Side? Until recently, most investors asked just one thing of their mutual funds: red-hot returns. Now, in the wake of the trading scandals, investors are also looking for fund management they can trust.
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.
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.
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 December 22, 2003 Amy Borrus	Funds: Leaving Little Guys Out In The Cold The SEC's cleanup of mutual funds could shortchange small investors.
Investment Advisor November 2005 Melanie Waddell	The Playing Field: Round Two of Market Timing The SEC designed Rule 22c-2 to help mutual fund companies deal with market timing, but is it working?
BusinessWeek September 27, 2004	"You Cannot Legislate Honesty" Fund manager Robert Olstein, in a candid interview, says the SEC regulators have overstepped the mark.
Registered Rep. August 14, 2007 Kevin Burke	"Injured" Banc One Fund Shareholders Finally Get Their Checks The SEC said that roughly $55.6 million in so-called "fair funds" have been distributed to more than 200,000 investors who were bilked by fraudulent market timing activity in certain Banc One's mutual funds.
The Motley Fool January 13, 2004 Selena Maranjian	The Fund Fee Fracas Are mutual fund fees too high?
CFO December 1, 2003 Linda Corman	Subject to Failure Recent scandals in the mutual-fund industry leave employers questioning the security of their plans.
Financial Advisor June 2005 Darwin K. Abrahamson	Avoiding Redemption Fees In 401(k) Plans Since it's indisputable that redemption fees are becoming entrenched within mutual funds at an accelerated pace, an obvious solution to avoiding redemption fees altogether is to invest in exchange-traded funds (ETFs).
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.
Registered Rep. June 20, 2007 Kevin Burke	Fund Fees Sink to Lowest Level in 25 Years, but Why? Is it the result of investor preference for lower-cost funds, increased competition among fund companies -- or fallout from the fund trading scandal?
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.
Registered Rep. May 18, 2004 John Churchill	The Only Game in Town Survey shows a majority of investors still think mutual funds provide the best opportunity for a diversified portfolio, and many do not think the mutual fund improprieties are widespread across the industry.
Registered Rep. September 1, 2004 John Churchill	Hidden Market-Timers A new study of mutual fund firms' enforcement capabilities affirms what many in the industry have known for some time --- omnibus accounting practices by fund intermediaries make catching timers virtually impossible.
BusinessWeek March 8, 2004 Anne Tergesen	Revealing Redemption Rates Worried that market timers are monkeying with your mutual fund? Here's one way to check for red flags
BusinessWeek June 26, 2006 Lauren Young	Mutual Funds: Back In Action Sure, the markets are jittery, but mutual funds are doing a better job for investors since the dot-com smashup. Long-term returns are up, fees are down, and, despite ETFs and hedge funds, money is rolling in.