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Registered Rep. July 13, 2009	Swiss and U.S. Tension Rising Over UBS Tax Evasion Case The problem continues to be that Swiss banking laws -- which say tax fraud is illegal, but not tax evasion -- protect the names of the 52,000 American clients and giving them up would violate Swiss criminal law.
Registered Rep. May 8, 2008	UBS Needs A Lift Ticket UBS is facing serious scrutiny by the Securities and Exchange Commission and the Department of Justice to determine whether or not the bank aided clients in committing tax evasion from 2000 to 2007.
Registered Rep. February 9, 2010 Kristen French	UBS Americas Bleeds More Client Assets in Q4, Advisor Attrition Way Down Clients continued to withdraw significant assets from the firm both in the U.S. and around the world.
Registered Rep. February 18, 2009 John Churchill	UBS Nailed With $780 Million Fine, Admits To Aiding Tax Dodge Clients The U.S. government has taken its pound of flesh from UBS today. According to a Department of Justice press release.
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.
Registered Rep. January 29, 2010 Kristen French	UBS Morale Lifts A number of top financial advisors at the firm say that they are so far very pleased with the leadership of UBS Wealth Management CEO Bob McCann and his team.
Registered Rep. June 24, 2009 John Churchill	SEC Says Time To Tighten Rules On Money Market Funds After one of the oldest and largest money market funds suffered such severe redemptions that the net asset value of its shares fell below $1, the SEC is proposing structural and regulatory changes for money markets
Investment Advisor September 2009 Melanie Waddell	SEC Bulks Up Enforcement The Securities and Exchange Commission is moving at a rapid pace to repair its sullied reputation after being lambasted by Congress for failing to stop the Bernie Madoff Ponzi scheme.
The Motley Fool November 11, 2011 John Reeves	Banks Promise Not to Commit Fraud ... Until Next Time Banks have been signing pledges that they do not follow through on.
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 July 17, 2008 John Reeves	Fool Blog: Short Selling and the Death of Satire Do the big investment banks really need our protection?
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.
Registered Rep. September 3, 2008 John Churchill	Brokers Charged In Fraudulently Selling $1bn Of ARS To Retail Clients In the first case of its kind, the SEC announced today that it has charged two individual financial advisors with fraud related to the sale of more than $1 billion in auction-rate securities.
Registered Rep. May 15, 2009 Kristen French	SEC Proposes Anti-Ponzi Rules. Do They Fall Short? Surprise exams and reviews by third party accountants: These are the new measures the SEC proposed to combat ponzi schemes like the one Bernie Madoff pulled off.
BusinessWeek December 30, 2009 Jesse Westbrook	Why the SEC Keeps Backpedaling New Chairman Schapiro could be caving in to business pressure.
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.
The Motley Fool November 25, 2011 Shubh Datta	Another Investment Bank Chops and Changes UBS looks to shed its investment banking business.
The Motley Fool October 2, 2009 Robert Brokamp	Let's Fix the Rules of Enforcement Is the SEC up to the task?
Registered Rep. March 1, 2007 Halah Touryalai	SEC Cracks Insider-Trading Ring The SEC has charged 14 individuals -- including employees of UBS and Morgan Stanley -- with participating in two insider-trading schemes that generated at least $15 million in illegal profits.
Investment Advisor February 2009 Melanie Waddell	Mary Schapiro's Priorities Mary Schapiro tells the Senate Banking Committee what her priorities will be at the SEC.
Registered Rep. December 11, 2008	SEC Finalizes $30 Billion ARS Settlement With Citi And UBS The $30 billion settlement is the largest in SEC history and restores liquidity to ARS investors at par value of their holdings.
Registered Rep. March 15, 2012 Kristen French	Due Diligence: Step Back Rakoff, SEC-Citigroup Settlement Could Stand Judge Jed Rakoff may have overstepped his authority, said a federal appeals court today. In a procedural decision, the court wrote that the Securities and Exchange Commission has a good chance of overturning Rakoff's rejection of a $285 million SEC settlement with Citigroup.
The Motley Fool March 24, 2005 Karl Thiel	The Naked Truth on Illegal Shorting Is the illegal practice of naked short selling destroying your investment?
Registered Rep. March 11, 2009 Halah Touryalai	Extreme Makeover: SEC With or without an increased budget, the SEC wants to make up for its shortcomings.
BusinessWeek February 10, 2011 Bob Van Voris	For Madoff Victims, an Avenging Angel Irving Picard has $10 billion in hand and is suing banks and others he claims profited from the fraud for $100 billion more
Registered Rep. September 10, 2008	Bank of America to Buy Its ARs Back The nation's second-largest bank by assets settled an investigation by Massachusetts regulators, agreeing to buy back $4.5 billion worth of the securities.
BusinessWeek May 14, 2009 Maria Bartiromo	SEC Chief Mary Schapiro: The Watchdog's New Teeth A discussion with with the new SEC Chief Mary Schapiro.
InternetNews October 7, 2008 Paul Shread	Technical Analysis: It's the Uptick Rule, Stupid An SEC decision in July 2007 could well be contributing to the current financial crisis.
Investment Advisor April 2010	B/D News Licensing for insurers and brokers... scamming Madoff victims... NASAA's settlement with UBS...
CFO October 1, 2011 Sarah Johnson	Is the SEC Being "Set Up to Fail"? A bill would raise the threshold for how the securities regulator sets rules.
Registered Rep. January 15, 2009	Schapiro's Replies: Blame The SEC--Not FINRA--For Madoff It wasn't her job, man.
Registered Rep. June 22, 2009 David A. Geracioti	Madoff Had Help Running His Fraud, Says SEC The SEC today indicted four individuals for helping Bernie Madoff in his colossal Ponzi scheme. One of the individuals was a registered rep and a second was an investment advisor.
The Motley Fool July 2, 2008 Tom Hutchinson	UBS Purges Board Heads roll as UBS faces a myriad of financial and legal problems.
Registered Rep. December 29, 2009 Halah Touryalai	Principal-Protected Notes Not So Protected, FINRA Says. In a regulatory notice this month, FINRA warned firms offering structured products not to overstate their level of protection or their potential returns.
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. 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. September 2, 2009 John Churchill	SEC Blew It With Madoff, Inspector General Says SEC Chairman Mary Schapiro announced the release today of the Office of the Inspector General's report on the Bernard Madoff fraud. It says, in short, the SEC screwed up in every way possible.
On Wall Street August 1, 2009 Mark Astarita	Changes at the SEC: Schapiro Should Be Benefit to Advisors One can expect that as head of the SEC Mary Schapiro will understand the impact of new rule proposals and enforcement initiatives and will temper the calls for more extreme changes that would ultimately harm the markets and the financial industry.
Registered Rep. April 6, 2009 John Churchill	IRS Circling, UBS Bans Travel for Some Advisors The United States' ongoing hunt for tax cheats will be putting a crimp in some clients' quarterly portfolio reviews.
The Motley Fool November 4, 2008 Alex Dumortier	The Market Is Wrong on UBS UBS appears to have turned the corner in restoring investor confidence, but do fundamentals back this up?
The Motley Fool September 20, 2011 Navjot Kaur	UBS Joins the Long Cost-Cutting Line UBS cuts 3,500 jobs to stay profitable.
Investment Advisor February 2009 Melanie Waddell	Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization.
The Motley Fool August 13, 2008 Morgan Housel	Waiting for the Next Bear Stearns A new survey shows that nearly 60% of 146 institutional investors polled expect another major financial firm to collapse in the next six months.
CFO April 15, 2012 Sarah Johnson	The SEC Wants a Raise The agency's FY2013 budget request meets resistance in Congress.
Registered Rep. January 27, 2010 David A. Geracioti	The SEC "Reforms" Money Market Funds but Votes to Allow Funds to Suspend Redemptions So now the SEC can decide when your client may take his or her money out of an investment?
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.
Financial Advisor July 2012 Brian Hamburger	SEC Soft On Big Firms Lehman Brothers is just one example of the regulator's long history of enforcement double standards.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You Securities regulation helps guard investors against fraud.
The Motley Fool March 7, 2005 Selena Maranjian	Give Us the Money, SEC! The SEC has $52.5 million from a 2002 $1.4 billion settlement made by brokerage firms to spend on investor education. Here are some suggestions on how to exactly to spend it.
The Motley Fool July 17, 2008 Beyers & Yochim	5 Reasons the SEC Wants to Quash Short Sellers The SEC says it will limit shorting of liquidity-dependent financials for at least 30 days. A slightly tongue-in-cheek look at five reasons why they are doing so now.