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InternetNews October 23, 2006 Ed Sutherland	Online Brokers Hit By Fraudsters SEC and other regulators investigate millions in losses of E*Trade and TD Ameritrade customers.
Wall Street & Technology July 28, 2004 Jim Middlemiss	Gone Phishing In the latest identity-theft scam, fraudulent e-mails trick individuals into coughing up passwords to 'secure' financial data.
The Motley Fool October 25, 2006 Rick Aristotle Munarriz	The Hacker Made Me Do It Investors: Psst! Your brokerage account is showing. Hackers are crafty. They'll always find a game to play. Just make sure to stay on your toes. Check your account often from a secure location -- or, better yet, have trade confirmations emailed to you.
Wall Street & Technology November 17, 2003 Jim Middlemiss	Under Attack Forget about locking the windows and the doors, financial-services firms now have far more to fear from worms, horses and bugs.
Registered Rep. December 1, 2005 John Churchill	Blotter Hackers Beating the Market... SEC Halts Fraudster, Again...
BusinessWeek March 21, 2005 Amy Borrus	Wall Street's Dirty Rotten Little Scoundrels The SEC has a new plan to turn up the heat on small-time Wall Street fraudsters.
InternetNews March 12, 2007 Roy Mark	Feds Hit 3 Hackers in Stock 'Pump and Dump' U.S. authorities charge hackers in India and Malaysia with cracking U.S online brokerage accounts.
PC Magazine November 29, 2006 Robert Lemos	Hacking for Dollars Viruses and worms are so last-decade. Today's PC users have to worry more about online burglary than stolen bandwidth.
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.
The Motley Fool July 2, 2004 Rich Smith	Phishing in the Fund Pond Online scammers begin to target mutual fund investors.
BusinessWeek May 30, 2005 Mara Der Hovanesian	Hackers And Phishers And Frauds, Oh My! How consumers can protect themselves against cybercrime.
Financial Planning December 1, 2006 Jane Worthington	Compliance Tips As a financial services professional, you should welcome questions from seniors and be prepared to answer them, no matter how basic.
Registered Rep. May 1, 2012 Kristen French	Blotter: May 2012 Ephren W. Taylor II just wanted to write books and hear his wife sing, in a manner of speaking. Problem is he needed other people's money to make that happen, nearly $11 million of other people's money.
Registered Rep. September 23, 2008	SEC Charges Miami Broker Gary Gross Gary Gross has been charged with fraud by the SEC for selling his elderly clients unsuitable investments.
Registered Rep. March 27, 2006 Kristen French	SEC Targets Investment Traps Set For Seniors The move against the "free lunch," as they are generally called, is part of a larger initiative launched to protect senior citizens from investment scams and unsuitable recommendations.
The Motley Fool June 20, 2006 Seth Jayson	SEC Slaps Tube Traders A few South American account holders are charged with trading Maverick Tube on inside information. The SEC is, so far, short on the details of just how these people got insider information.
Bank Systems & Technology September 15, 2007 Sharon Gaudin	Number Of Hackers Attacking Banks Jumps 81% Hackers no longer need to be technical wizards to set up an operation to steal people's banking information and then rob their accounts.
Investment Advisor June 2007 Melanie Waddell	SEC Won't Appeal Court Ruling The SEC has decided not to appeal the recent ruling which exempted brokers from being subject to regulation as investment advisors in fee-based brokerage accounts, on the basis that the SEC had exceeded its authority under the Investment Advisers Act of 1940.
AskMen.com Bernie Alexander	Cyber Crime: The Wild West, Online Forget about breaking and entering, aggravated assault and armed robbery. Cyber crime is taking over.
BusinessWeek April 17, 2006 Brian Grow	The Mind Games Cybercrooks Play Hackers are exploiting psychological vulnerabilities to gain access to your data.
Registered Rep. March 4, 2009 John Churchill	SEC Sued by Stanford Group Advisors for Violation of Constitutional Rights The SEC has frozen client accounts of Stanford Financial Group advisors, and has ordered them not to communicate with their clients. The advisors are fighting back.
InternetNews November 3, 2006 Ed Sutherland	FBI: Twilight For Bank Phishermen U.S. and Poland hackers had targeted a major financial institution.
Registered Rep. December 1, 2004 Karen F. Donovan	Raymond James Fights a Lonely Battle with the SEC After nearly two years of negotiations, the agency charged Raymond James Financial Services with civil fraud in connection with the conduct of a rogue broker who worked off-site as an independent rep in Cranston, R.I.
InternetNews May 10, 2010	Phishing Scheme Targets Apple Gift Cards Con artists have zeroed in on Apple Store gift cards for their latest online heist, tricking users into divulging their card and personal information numbers.
InternetNews February 22, 2007 Clint Boulton	Veritas Dinged For $30M Veritas Software will fork over cash to investors harmed in fraudulent financial schemes.
Chemistry World March 16, 2015 Rebecca Trager	Drug firms warned to be honest with investors The US Securities and Exchange Commission is concerned that too many pharmaceutical companies aren't being sufficiently transparent with investors about their interactions with regulators at the US Food and Drug Administration.
The Motley Fool February 11, 2004 Selena Maranjian	Avoid "Brokerage Identity Theft" Identity theft doesn't just happen to individuals. Even brokerages can be victims. Be wary when someone contacts you claiming to be a brokerage, even a well-known one.
Registered Rep. April 1, 2006 John Churchill	Blotter Regulators Collar Bear... Pattern of Abuse... Junk Fax Scalping... Judge Freezes Ponzi Scheme...
The Motley Fool September 11, 2007 S.J. Caplan	No Free Lunch Regulators are still clamping down on "free lunch" scams targeted at seniors. A recent investigation has revealed these sessions to be high-pressure sales pitches of misleading claims and unsuitable financial products, and even fraud.
The Motley Fool February 23, 2007 Selena Maranjian	Thieves Emptying Brokerage Accounts Investors, here's something new to worry about: brokerage account theft. Here's what you can do to protect yourself.
IEEE Spectrum October 2006 David Kushner	Making Computer Crime Sexy A look at cyber crime in the movies and real life.
Investment Advisor October 2007 Melanie Waddell	Helping the Most Vulnerable Retirees Lawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors, the most vulnerable retirees, are closely scrutinized.
U.S. Banker February 2005 Michael Sisk	A Phish Story Phishing attacks (in which thieves send mass e-mails supposedly from reputable businesses) are expected to more than double in 2005, and are spreading to small banks.
InternetNews September 17, 2007 Andy Patrizio	Have We Reached The End Of The Virus? Not quite. The old-fashioned virus infestation is fading as the biggest nuisance for computer users in favor of Trojans, Symantec's new malware study finds.
The Motley Fool May 12, 2010 Rich Duprey	Moody's Goes Rogue Ratings agency fails to disclose receipt of SEC investigation notice as CEO dumps stock.
Financial Planning July 1, 2005 James A. Barnash	Why We're Suing The FPA president explains the lawsuit over the SEC's broker-dealer rule that exempted certain broker-dealers from disclosure standards that apply to investment advisers and most financial planners.
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.
Registered Rep. July 1, 2005 Bill Singer	An Industry in Need of Counseling The relationship between regulators and the brokerage industry lately resembles that of a long-term union that's hit the rocks, and the pair could benefit from opening up a little more to each other.
Wall Street & Technology January 5, 2007 Larry Tabb	Preparing for the Inevitable While electronic thefts can be cleaner, less physical and certainly less bloody, the chance of getting money out of a brokerage or bank illegally is usually greater with a gun than a computer. But as the criminals and terrorists get smarter, we too must raise the bar.
InternetNews January 30, 2006 Sean Michael Kerner	ID Theft And Internet Fraud Declining? New studies indicate that the Internet isn't as dangerous as other places.
The Motley Fool April 19, 2010 Jennifer Schonberger	The S&P 500's Biggest Movers Regulatory news puts a dent in the market.
Registered Rep. February 11, 2004 John Churchill	Dueling Trend Lines on Complaints Brokers have become more attuned to investor complaints in recent years, but they must be forgiven if they're having a hard time drawing conclusions from the trend numbers reported by regulators.
Popular Mechanics February 2006 Brian Krebs	It's 10 PM. Do You Know Where Your Identity Is? Global identity thieves may know their way around your computer better than you do. Learn how to protect yourself in the scary new world of zombies, RATs, Trojan horses and evil twins.
BusinessWeek July 26, 2004 Paula Dwyer	The SEC To Top Execs: Read The Fine Print The Ken Lay criminal indictment has overshadowed the parallel SEC civil lawsuit. But corporate insiders and their attorneys would be wise to give the SEC complaint a close read.
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.
InternetNews March 3, 2005 Roy Mark	New Senate Bill Looks to Hook Phishers The Anti-Phishing Act of 2005 targets both the e-mail bait and the Web site switch by entering two new crimes into the U.S. Code.
Financial Planning March 1, 2011 Bob Veres	Gold Into Straw In mid-January, the SEC released its "Study on Investment Advisers and Broker-Dealers" to Congress. Analyzing the study provides an insightful look into how the SEC views the "harmonization" of two different regulatory structures.
Information Today June 2005 Phillip Britt	No Phishing Allowed Today, the biggest threats for companies and consumers are the new crimes with funny-looking names: phishing, pharming, and spim.
Registered Rep. June 1, 2005 Karen Donovan	No More Slap on the Wrist Regulators are getting tough and creative on registered reps because they suspect that fines aren't a strong enough deterrent to stop illegal behavior.
Registered Rep. March 30, 2007 John Churchill	Surprise! FPA Wins Lawsuit Against SEC and the Broker-Dealer Exemption Three years after suing the SEC over the controversial "Broker Dealer Exemption" rule, a federal court has ruled that the SEC exceeded its authority in adopting the rule.