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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. February 9, 2007 Kevin Burke	SEC Big Says Waiver Tactics Can Backfire An SEC commissioner today said that asking broker/dealers and investment advisory firms to waive their legal right to attorney-client privilege in order to speed up the pace of enforcement investigations is shortsighted.
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
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.
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.
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.
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. 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.
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?
CFO January 30, 2004 Tim Reason	Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds.
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.
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	A White Knight For Mutual-Fund Investors No mutual-fund executive wants to get a phone call from Eliot Spitzer these days.
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.
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.
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 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.
CFO November 1, 2003	Wall Street Warrior Ten questions for New York Attorney General Eliot Spitzer. His one message for CFOs: "Be careful."
InternetNews October 22, 2004 Colin C. Haley	Qwest Settles Fraud Charges The voice and data carrier will pay $250 million to end a two-and-a-half year probe.
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. October 1, 2005	Blotter Lawyers, Drugs and Money... More Market-Timing Fallout... Bank of America in Hot Seat...
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.
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.
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 May 20, 2004 Tim Beyers	American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest?
Investment Advisor January 2007 Kara Stapleton	News & Products Bank of New York and Mellon Financial Corporation announced plans to merge... The brokerage firm Jefferies & Co. will pay $9.7 million to settle SEC charges... New York Attorney General Eliot Spitzer has sued UBS... etc.
Registered Rep. August 29, 2006 Kristen French	Pru Agrees to $600 Million Market-Timing Settlement Prudential Equity Group admitted to criminal wrongdoing in connection with the market-timing practices of a number of its brokers between 1999 and June, 2003.
Financial Advisor January 2004 Jay Gould	Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react?
Registered Rep. April 26, 2005 Kristen French	A Pawn Takes the Queen Charles Elliott scores one for the "little guy," and proves that sometimes it pays for a broker to take on securities regulators, despite their financial and legal heft.
BusinessWeek January 19, 2004 Borrus & Dwyer	How To Crack Down On Mutual-Fund Fees The SEC should require uniform cost disclosure.
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. May 1, 2008 Halah Touryalai	Banc Of America Dishes Out $10 Million For Fiduciary Violations Banc of America Investment Services Inc. settles charges that it failed to disclose that it favored mutual funds affiliated with the firm.
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. 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. 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?
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.
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. 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.
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.
Registered Rep. December 1, 2006 John Churchill	Blotter Shelf Space No No... Broker Gets 14 Years...
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.
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.
Registered Rep. February 1, 2005	Blotter Banc One Is No. 1 -- in Fine Size... Fleecing the Flock... Morgan Gets a Slap...
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.
Investment Advisor September 2009	Broker/Dealer News Actions by the SEC and FINRA
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?
The Motley Fool October 26, 2004 Rich Duprey	Aon Mired in Marsh World's second-largest insurance broker accused of improper business practices.
The Motley Fool April 2, 2004 Shannon Zimmerman	SEC: Toothless No More? Is the SEC getting serious about fund industry reform?
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
Financial Advisor October 2004 Evan Simonoff	Editor's Note Back in July when the Financial Planning Association filed a lawsuit against the Securities and Exchange Commission, many advisors could be forgiven for wondering if the FPA was losing its grip on reality.