Similar Articles

Browse Main Topics:

Business
Computers & Electronics
Education & Reference
Entertainment & Leisure
Family & Home
Finance & Investment
Health
Internet
Pets & Animals
Science & Technology
Society, Politics & Culture
Sports & Recreation

Similar Articles

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.
Registered Rep. May 29, 2007 Kristen French	Spitzer Forms Panel to Clean up NY Regulation Governor Eliot Spitzer is forming a panel to streamline regulations and make New York more competitive with London, but without sacrificing investor protection.
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.
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.
The Motley Fool December 8, 2004 Rich Smith	Spitzer for Governor? Crusading prosecutor takes aim at New York's governor's mansion.
Registered Rep. April 1, 2008	Spitzenfreude Some on Wall Street think that Eliot Spitzer had it coming.
The Motley Fool January 9, 2004 Bill Mann	Spitzer in Need of Update You'd think the New York attorney general's office would offer more warnings about Wall Street's wrongdoers.
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.
InternetNews April 4, 2006 David Miller	Spitzer Files Spyware Suit New York Attorney General Eliot Spitzer is suing an Internet advertising firm he claims surreptitiously installed millions of pop-up ad producing programs on individuals' computers.
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. 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.
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.
Registered Rep. December 1, 2004 David A. Gaffen	Quietly Active The annual Securities Industry Association conference exuded an odd serenity, at least until the speakers invoked the name of Eliot Spitzer.
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.
Inc. May 2005 Stephanie Clifford	Spitzer Probes Raise Fears of Employer Liability What New York state attorney general Eliot Spitzer's investigations mean for small businesses with regard to benefits administration.
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?
CFO January 30, 2004 Tim Reason	Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds.
BusinessWeek August 21, 2006 Michael Orey	Lots Of Evidence, No Verdict Invaluable reformer or prosecutor run amok? The author lets the reader decide.
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 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?
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.
Registered Rep. October 29, 2002 Rick Weinberg	Morgan Stanley Opposes Fine Following the New York Attorney General's investigation of Merrill Lynch's research practices, the firm was fined $100 million. The attorney general's office is in the midst of an ongoing investigation of other firms, including Morgan Stanley, which is fighting back.
InternetNews January 30, 2007 Ed Sutherland	Travel Companies, Cingular Settle Adware Case Three online advertisers have to pony up $100,000 and promise to stop using controversial adware as part of a settlement with New York State's Attorney General.
Bank Systems & Technology March 18, 2009 Orla O'Sullivan	AIG Uproar Sees Spitzer Weigh In The real disgrace in what A.I.G. did with almost $200 billion in government bailouts was not the payment of executive bonuses, but payments to banks, Eliot Spitzer said in an interview Wednesday morning.
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.
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 22, 2006 Halah Touryalai	Spitzer Wants More Settlement Dollars for New York UBS Reps New York Attorney General and Governor-elect Eliot Spitzer is asking a Northern California court to disapprove the settlement terms of an overtime suit against UBS.
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.
BusinessWeek September 2, 2010	Hard Choices: Joe Plumeri The chairman and CEO of insurance brokerage giant Willis Group on shunning contingent commissions and forgoing millions
CFO November 1, 2003	Wall Street Warrior Ten questions for New York Attorney General Eliot Spitzer. His one message for CFOs: "Be careful."
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. 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 February 2006 Jacob Sullum	Better Not Shop Around Internet retailing threatens to cut into the profits of the shady characters who make a living trucking cigarettes from low-tax to high-tax states. But cigarette smugglers have found an unlikely ally: New York Attorney General Eliot Spitzer.
Registered Rep. October 21, 2004 Will Leitch	Merrill's O'Neal Speaks: Some Regulatory Action Politically Motivated In a rare public appearance, Stan O'Neal, chairman and CEO of Merrill Lynch, took indirect aim at regulators -- and perhaps even New York State Attorney General Eliot Spitzer in particular.
Registered Rep. January 1, 2007 Halah Touryalai	Spitzer Defends UBS Brokers--No, Seriously Eliot Spitzer announced in mid-December that he thinks the $89 million overtime settlement that UBS agreed to in February 2006 is unfairly distributed, and he's asking a Northern California District Court to reject the proposed settlement amount.
The Motley Fool September 16, 2004 Rich Smith	Jos. A. Bank's (Law) Suit New York's attorney general orders the company to change its advertising strategy. Does this mean anything to investors?
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.
InternetNews April 28, 2005 Tim Gray	New York Sues Internet Marketing Firm New York's Attorney General alleges that California's Intermix Media is installing spyware on PCs.
InternetNews March 9, 2004 Ryan Naraine	PayPal Slapped with $150K Fine PayPal's user agreement misrepresented the protections consumers enjoyed when an affiliated merchant failed to deliver merchandise.
Investment Advisor July 2009 Marlene Y. Satter	Insurance Update: Classroom or Courtroom? After a series of high-profile actions in his position as New York's top insurance regulator Eric Dinallo is leaving the job at the New York State Insurance Department.
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.
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.
InternetNews November 14, 2007 Kenneth Corbin	New York's About-Face on E-Commerce Taxation New York governor rescinds new a policy that could have meant the end of the tax-free Internet consumers have come to know and love.
The Motley Fool October 25, 2004 Rick Aristotle Munarriz	Spitzer Pumps Up the Volume New York's attorney general aims at the shady practice of payola in the music industry.
BusinessWeek February 25, 2010 Jessica Silver-Greenberg	A Choir Boy Battles Wall Street Richard Cordray may not look the part, but the Ohio attorney general has assumed the pit bull role once played by Eliot Spitzer and Rudy Giuliani.
The Motley Fool October 26, 2004 Rich Duprey	Aon Mired in Marsh World's second-largest insurance broker accused of improper business practices.
Registered Rep. November 4, 2008	Top Merrill FAs Playing Hardball With Retention Package They have taken the first step towards getting changes made by collectively hiring a lawyer, who "ripped the retention contract to shreds."
Financial Planning February 1, 2011 John Knowlton	The Power of a POA Convincing your clients to see a lawyer and do the paperwork to designate a power of attorney may not be a financial planner's first responsibility, but it is an important one.
Registered Rep. March 12, 2008 Christina Mucciolo	Wall Street Romps While most of Wall Street toasted Spitzer's demise, the financial industry is not impervious to succumbing to the attractions of women.
The Motley Fool December 1, 2004 Tim Beyers	Carnival of the Ignorant The NYSE faces down brokers who didn't provide basic information to thousands of IPO investors. But refunds? Sorry, folks, but when you invest, you take a risk.