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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.
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
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. 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.
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?
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 March 22, 2004 Shannon Zimmerman	Spitzer Rides Again Chalk another one up to General Eliot Spitzer and his war on bad funds.
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.
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. 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 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 January 30, 2004 Tim Reason	Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds.
BusinessWeek January 19, 2004 Borrus & Dwyer	How To Crack Down On Mutual-Fund Fees The SEC should require uniform cost disclosure.
The Motley Fool April 2, 2004 Shannon Zimmerman	SEC: Toothless No More? Is the SEC getting serious about fund industry reform?
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 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. 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.
The Motley Fool January 13, 2004 Selena Maranjian	The Fund Fee Fracas Are mutual fund fees too high?
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 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.
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.
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. 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. 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. 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. 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.
Salon.com January 16, 2003 Arianna Huffington	Cold feet Eliot Spitzer caved to Wall Street criminals. Maybe he decided that taking on the most powerful people in the country might not be the best strategy for a man considering a run for governor.
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.
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.
BusinessWeek August 21, 2006 Michael Orey	Lots Of Evidence, No Verdict Invaluable reformer or prosecutor run amok? The author lets the reader decide.
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.
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.
On Wall Street October 1, 2009 Thomas O. Gorman	SEC v. Bank of America: Where to Go From Here? The SEC thought it had completed an investigation, brought an enforcement action and then settled it.
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. 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 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.
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.
The Motley Fool June 25, 2004 Tim Beyers	Fund Independence Day Yesterday, the Securities and Exchange Commission turned up the heat on the mutual fund industry by requiring that funds maintain a board of trustees that is at least 75% independent from management.
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?
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. 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.
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.
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 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. 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.
CFO April 1, 2005 Tim Reason	The Limits of Mercy The cost of cooperating with the SEC is high. The cost of not cooperating is even higher. Faced with financial penalties, career-ending bans, and possible criminal prosecution, more individuals are choosing to fight the SEC.
Financial Planning July 1, 2005 Bob Hirschfeld	News Regulatory investigations into Chicago-based mutual fund and stock research firm Morningstar don't seem to have affected its newly public stock.
The Motley Fool October 20, 2004 Rogene Calvet	Is Marsh Ringing the Value Bell? Does a troubled global insurer offer a buying opportunity?
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. November 7, 2003 David A. Geracioti	SEC Chief "Distressed" at "Wrongdoing" in Industry SEC Chairman William Donaldson's favorite word is distressed -- at least that was true during both his speech to the Securities Industry Association annual meeting and the press briefing that followed.