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Registered Rep.
March 21, 2006
Halah Touryalai |
SEC and U.S. Attorney's Office Indict Traders and Executives in `Squawk Box' Scheme The SEC alleges that the fraudulent scheme allowed daytraders to trade based on overheard customer orders.   |
Registered Rep.
February 26, 2009
John Churchill |
AG Cuomo Has the Goods--What Will Come of Merrill Bonuses? Former Merrill CEO John Thain testified before the AG for the second time on Tuesday, abiding by a court order that he share the names of bonus recipients with the AG after he initially declined to do so. |
Registered Rep.
February 4, 2010
Halah Touryalai |
NY AG Names Names -- Charges Ken Lewis With Fraud The New York Attorney General's office today charged Bank of America CEO Ken Lewis with fraud for failing to disclose material details about Merrill Lynch in its merger with the brokerage. |
The Motley Fool
March 24, 2009
Smith & Bleeker |
Who's More to Blame: Congress or the SEC? March Stock Madness -- Second Round: Let's bullet-point some of the failures of both Congress and the SEC to determine which is more to blame for the current crisis. |
The Motley Fool
March 18, 2009
Matt Koppenheffer |
AIG Bonus Outrage Is Bogus Don't buy the government's surprised anger at the AIG exec bonuses. |
Registered Rep.
December 4, 2008
David A. Geracioti |
AIG Executives: Fat Cats or Valuable Management Worth Keeping? It can be argued that AIG CEO Edward Liddy actually had the right idea in paying retention packages to key managers. |
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.
July 30, 2009
John Churchill |
Pressure to Reign In Executive Compensation Grows New York Attorney General Andrew Cuomo released a report today on the compensation practices of the banking industry. Top on the list of concerns was the compensation structure at larger banks. |
BusinessWeek
November 24, 2010
Charlie Rose |
Charlie Rose Talks to Steven Rattner Quadrangle's co-founder and Obama's car czar just settled with the SEC over the pay-to-play pension fund scandal. Now, Andrew Cuomo wants a piece of him. |
Investment Advisor
September 2009 |
Broker/Dealer News Actions by the SEC and FINRA |
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. |
Registered Rep.
August 15, 2005
Kevin Burke |
SEC Nabs Brokers for Pirating Squawk Box Info The SEC has charged four brokers and a daytrader with cheating investors through a fraudulent scheme to eavesdrop on confidential order flow information, enabling them to "trade ahead" of large orders at more favorable prices. |
The Motley Fool
May 23, 2008
Tom Hutchinson |
Another Black Eye for AIG These are dark days for the insurance giant. In the latest news, former AIG chief executive Maurice "Hank" Greenberg might face civil charges for an alleged role in improperly inflating AIG's loss reserves. |
Registered Rep.
February 20, 2009
Kristen French |
News Roundup: BofA's Lewis Subpoenaed; Ponzi Pileup! Stanford Investigated For Ponzi Scheme; Morgan Still Poaching Brokers; Even Sin Businesses Take A Hit Another banking-chief head may be set to roll... A list of Ponzi schemers... Sin stocks lower... Morgan Stanley poaches brokers... |
Registered Rep.
March 5, 2009
Halah Touryalai |
"Look Ma, Me Regulate!" No Retention Bonuses from Wells Fargo. Exceptions Apply; Merrill Bonus Saga Continues In its latest effort to prove its effectiveness, the SEC says it wants to reevaluate the rules governing credit-rating agencies. |
Registered Rep.
March 12, 2009 |
In the News: Madoff Pleads Guilty; AG Cuomo Says Merrill Mislead Him, UBS Retail Unit Stumbled in '08, Fund Manager Steve Leuthold Is (Still) Very Bullish Madoff faces up to 150 years in prison... Cuomo wants disclosure on bonuses... UBS releases 2008 annual report... "Buy `em when they hate'em," Leuthold says... |
The Motley Fool
March 17, 2009
Bleeker & Williamson |
Who's More to Blame: The SEC or Fannie and Freddie? March Madness series: Which government-ish entity do you choose? The SEC has more than enough complicity in this mess, but Freddie Mac and Fannie Mae were set up to fail from the start. |
Registered Rep.
November 8, 2006
Kevin Burke |
Fat Bonuses on Wall Street Don't Extend to FAs If you work on Wall Street, chances are you stand to make a killing in bonus pay this year -- unless, that is, you're a broker or a financial advisor. |
The Motley Fool
September 15, 2009
Morgan Housel |
Justice for Bank of America Shareholders Bank of America shareholders are getting some justice, and those singlehandedly responsible for transforming the bank from a world-class enterprise into a taxpayer-sucking ward are being held accountable. |
Insurance & Technology
February 4, 2010 |
AIG Says Pay Issue Is 'Largely' Solved U.S. insurance giant American International Group Inc. said it would reduce bonus payments by $20 million to recoup part of a pledge it failed to keep. |
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.
August 7, 2008
John Churchill |
Citi Settles With SEC and Cuomo Over ARS Failure The firm has agreed to buy back auction rate securities sold to institutional and retail investors nationwide who've been stuck with the illiquid investment vehicles since February 12, 2008. |
Investment Advisor
March 2009
Melanie Waddell |
Retirement News & Products March 2009 SEC charges Merrill Lynch advisors with securities fraud regarding pensions... New research shows deferred variable assets show promise for wealth transfer market... Research shows 7 of 10 households have a tax-advantaged savings plan through work... |
Wall Street & Technology
October 28, 2008
Greg MacSweeney |
Deconstructing "Too Big to Fail" With increased regulation an almost foregone conclusion, the financial services industry will have to work to regain trust and credibility. |
The Motley Fool
June 22, 2010
Ilan Moscovitz |
How to Avoid the Next Lehman Brothers Don't go crazy with leverage. Two provisions in the financial-reform bill are critical to avoiding the next Lehman Brothers. |
Registered Rep.
February 12, 2009 |
Round Up: The Post-Congressional Roasting Scuttlebutt Deems House Committee A Rather Pointless Public Flogging In the 18th century there might have been a public flogging or a stint in the town square's pillory, but would the pre-credit-crunch world have condemned Wall Street leaders and members of Congress to the gallows? |
Registered Rep.
July 5, 2012
Kristen French |
Blotter: July 2012 One of the biggest-ever Ponzi schemes in South Florida was busted in May... The SEC charged Quantek Asset Management, a Miami-based hedge fund advisor with lying to investors... |
Registered Rep.
March 25, 2009
Kristen French |
Regionals Buying B/D Branches, It's All About AIG, BofA's Reassurances Stifel Nicolaus to buy 55 UBS wealth management branches spread across 24 states... Fallout from the AIG bonus kerfuffle continues to dominate the news... Bank of America to repay TARP money by April... |
The Motley Fool
January 28, 2009
Morgan Housel |
Here Comes the Pain for Thain Just days after resigning from Bank of America, former Merrill Lynch CEO John Thain has been subpoenaed by the New York Attorney General regarding $4 billion in bonuses paid just days before merging with B of A. |
The Motley Fool
July 3, 2008
Alex Dumortier |
Christmas Comes Early at Lehman Lehman Brothers decides to award its employees with a down payment on their 2008 bonus, paid in Lehman shares. |
The Motley Fool
June 6, 2008
Matt Koppenheffer |
Will Lehman Crash and Burn? Short sellers are circling Lehman Brothers -- will it be the next Bear Stearns? |
InternetNews
October 3, 2008
Paul Shread |
Bailout Bill Passes -- Now The Hard Part Begins Will the government's massive financial rescue plan work? The answer for technology companies and their investors won't be academic. |
The Motley Fool
February 4, 2010
Morgan Housel |
Ken Lewis: A Fraudster, or Just Stupid? Or maybe a stupid fraudster? |
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.
April 1, 2006
John Churchill |
Blotter Regulators Collar Bear... Pattern of Abuse... Junk Fax Scalping... Judge Freezes Ponzi Scheme... |
The Motley Fool
November 14, 2011
John Reeves |
Wrist Slaps All Around at the SEC The SEC disciplines its employees who were involved in the Madoff case. |
Financial Planning
August 1, 2008
Bob Veres |
The Big Regulatory Fix If the same few companies are behind virtually every major financial scandal and meltdown, why are the regulators talking about tightening up on all financial advisors? |
Registered Rep.
July 31, 2008
John Churchill |
Massachusetts Says Merrill Defrauded ARS Clients Among the many claims against Merrill Lynch is that management censored otherwise gloomy fixed income research in order to move volatile inventory out of company inventory and into client portfolios. |
The Motley Fool
December 14, 2006
Michael Mancini |
Lehman: Size Doesn't Matter In what is shaping up to be a record year for most securities firms, Lehman Brothers today announced its fourth-quarter and 2006 full-year results to less fanfare than its investment-banking brethren had earned. |
The Motley Fool
March 18, 2011
Avishek Mishra |
Should Wall Street Bonuses Be Scrapped? Banks walk a tightrope as SEC proposes regulatory oversight over executive bonuses. |
CFO
January 1, 2009
Scott Leibs |
The Year That Was A look back at the lows and ultra-lows of an all-too-historic year. |
The Motley Fool
September 23, 2008
Rich Duprey |
The Short-Sale Ban Is a Fiction The SEC's ban fails to address the real causes of the financial markets' decline. |
Investment Advisor
October 2009
Melanie Waddell |
SEC Criticized for Madoff Congress chides the SEC for the scathing inspector general report on Bernie Madoff. |
Registered Rep.
January 27, 2012
Kristen French |
Due Diligence: FINRA's Merrill Fine is a Tap on the Wrist This week, FINRA fined Merrill Lynch $1 million for making it hard for former brokers of the firm to fight back in bonus disputes. |
Registered Rep.
September 27, 2007
John Churchill |
Merrill Earnings Forecast Dismal, Congress Investigating Rating Agencies With many peers already having taken it on the chin, analysts expect significant pain for Merrill too. |
The Motley Fool
January 11, 2010
Alyce Lomax |
Bank Bonuses Head Back to the Future If reports are correct, Bank of America could pay 2007-style bonuses to some employees of its Merrill unit. |
Registered Rep.
April 8, 2005
John Churchill |
`Merrill Rule' Debate Not Over The SEC unanimously voted to allow Series 7 holders, or registered reps, to position themselves as financial advisors -- with certain caveats. But once again the SEC seemed to hedge its bet. So the debate rages on. |
The Motley Fool
January 15, 2009
Morgan Housel |
Bank of America Comes Back for Seconds After biting off more than it could chew with its acquisition of Merrill Lynch, Bank of America is heading back to the bailout line for a second helping. |
Registered Rep.
October 23, 2007
David A. Geracioti |
If Allegations Prove True, File This Under: Stupid Broker The SEC has filed a complaint against a former LPL rep and branch manager, who, the SEC says, had been engaging in one of the oldest broker tricks in the book: stealing his clients money. |
Registered Rep.
March 18, 2009
Halah Touryalai |
Congress Is Outraged--Again; Citi's New CEO?; Meredith Whitney Spews More Venom; and Madoff's Accountant's Life Just Got More Interesting The AIG CEO is testifying before the Inquisition -- er, Congress this morning. Liddy will be grilled about $165 million in bonuses his company doled out to executives. |
