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BusinessWeek
April 13, 2011
Helyar & Srivastava |
Rajat Gupta's Tragic Ambition The former McKinsey chief is accused of passing inside information to Galleon Group's Raj Rajaratnam   |
BusinessWeek
May 19, 2011
Suzanna Andrews |
How Rajat Gupta Came Undone A tape of his voice, divulging secret details of a Goldman board meeting to a convicted hedge fund manager, cost him what no amount of money can buy |
The Motley Fool
March 4, 2011
Morgan Housel |
When Rich People Do Stupid Things Rajat Gupta, Bernie Madoff, and the fast track to running a successful life. |
BusinessWeek
March 24, 2011
Glovinet al. |
Blankfein Takes the Witness Stand Goldman Sachs's Blankfein testified in the Galleon trial that leaking board information would have been a violation of company policy. |
BusinessWeek
March 10, 2011
Winter et al. |
A Guide to the Galleon Case How Raj Rajaratnam is alleged to have masterminded an insider trading ring that netted his hedge fund firm $45 million. |
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 |
BusinessWeek
March 31, 2011
David Glovin et al. |
Rajaratnam's Defense Has a Tough Job Ahead The Galleon Group hedge fund mogul will have to provide alternate explanations for dozens of trades. |
BusinessWeek
May 19, 2011
Suzanna Andrews |
Gupta's Rolodex Once one of the world's most connected and trusted corporate insiders, former McKinsey head Rajat Gupta could count these notables among his colleagues. |
InternetNews
September 21, 2007
David Needle |
Steve Jobs to Testify in Backdating Case Apple CEO Steve Jobs has reportedly been subpoenaed by the Securities and Exchange Commission to testify in a stock-options back-dating case against Apple's former general counsel, Nancy Heinen. |
BusinessWeek
October 21, 2009
Farzad & Francis |
The SEC's Tough New Offensive on Insider Trading It's using wiretaps, informants, and high-tech software, as well as teaming with key federal prosecutors, to nab wrongdoers fast. |
BusinessWeek
February 17, 2011
Elliot Blair Smith |
A Hedge Fund's Moves Mimic Insider Dealings SAC's buying and selling parallel some trades based on tips. |
U.S. Banker
September 2007
Lee Conrad |
Oversight: Hedge Fund Transparency At Issue...Again The Securities & Exchange Commission is attempting to shine a spotlight on the most opaque of investments-hedge funds-by creating a working group in its enforcement division to combat insider trading. |
BusinessWeek
April 29, 2010
Barrett & Schmidt |
In Goldman's Defiance, a Hint of Truce Goldman Sachs and the SEC have equally high stakes. |
Bank Systems & Technology
April 16, 2010
Penny Crosman |
SEC Charges Goldman Sachs With Fraud in Structuring, Marketing of CDOs "The product was new and complex but the deception and conflicts are old and simple," said Robert Khuzami, director of the division of enforcement. |
BusinessWeek
April 22, 2010
Jonathan Weil |
Goldman Slapped A civil suit and a Senate scolding won't be enough to make Wall Street's wealthiest firm fly right. |
BusinessWeek
June 3, 2010
Jesse Westbrook |
The SEC's BlackBerry Compromise The agency will give employees BlackBerrys -- but won't demand that they keep them on weekends or after hours |
CFO
March 1, 2004
Kris Frieswick |
Bar Hopping Already considered one of the most severe civil penalties for securities violations, officer and director (O/D) bars have been embraced by the Securities and Exchange Commission with a new zeal. |
Investment Advisor
April 1, 2011
Melanie Waddell |
GOP's End Game in Nixing SEC Funds: Stopping Dodd-Frank Republicans' rehashing of supposed failures at the SEC is 'counter-productive,' says former Chairman Harvey Pitt |
Registered Rep.
April 16, 2010
French & Mucciolo |
Breaking News: SEC Sues Goldman Sachs For Fraud on CDOs The Securities Exchange Commission sued Goldman Sachs for fraud in connection with mortgage-backed collateralized debt obligations it packaged and sold to investors, securities that have been blamed for 2008-2009 financial collapse. |
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. |
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. |
BusinessWeek
May 18, 2011
Paul M. Barrett |
Galleon Case: The Man Who Was 'Octopussy' Zvi Goffer is on trial in Chapter Two of the Galleon saga |
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. |
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.
November 1, 2007
John Churchill |
Subprime Mess: Merrill and Goldman Reportedly Under Eye of SEC The subprime debt market blowup has had very different effects on Wall Street firms Goldman Sachs and Merrill Lynch, but both firms could be getting a visit from the SEC to make sure everyone played by the rules. |
On Wall Street
May 1, 2010
Conrad & Menchaca |
Goldman Sachs Feels The Heat, Making It Tough For Advisors The Securities and Exchange Commission's lawsuit against Goldman Sachs may well be the catalyst for setting a universal fiduciary standard for the financial advisory industry. |
BusinessWeek
December 15, 2003
Paula Dwyer |
Breach Of Trust The mutual-fund scandal was a disaster waiting to happen. An inside look at how the industry manipulated Washington |
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. |
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. |
Financial Planning
September 1, 2008
Andrew Ackerman |
SEC Probes Wachovia The Securities and Exchange Commission enforcement staff has notified Wachovia Bank that they may recommend the SEC file charges against it, as a result of an investigation into alleged anti-competitive bidding practices. |
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. |
BusinessWeek
February 6, 2006
Emily Thornton |
More Heat On Hedge Funds As if there weren't enough controversy surrounding hedge funds, now the Securities & Exchange Commission is investigating suspicions that fund employees are engaging in insider trading. |
The Motley Fool
May 4, 2010
Alex Dumortier |
What Buffett Didn't Tell Goldman's CEO Shortly after the SEC made public its fraud complaint against Goldman Sachs, CEO Lloyd Blankfein contacted Warren Buffett to ask for advice. Warren's been here before, but he's keeping mum. |
CFO
June 1, 2009
Reason & Stuart |
Crackdown Alert After a GAO report documents a slowdown in the SEC's case generation and penalty volume under former chairman Christopher Cox, the regulator's new leaders talk tough. |
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. |
CFO
February 1, 2006
Alix Nyberg Stuart |
Penalty Box The SEC is handing out bigger and bigger fines for misdeeds. But is this the right approach? |
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. |
CFO
November 1, 2009
Alix Stuart |
An Agency Ready to Roar? The SEC under new chief Mary Schapiro has gotten off to a slow start on the enforcement front, but attorneys expect a burst of energy in 2010. |
CFO
October 1, 2002
Alix Nyberg |
Regulation: Pitt and the Pendulum The kinder, gentler SEC Pitt envisioned vanished faster than you can say Arthur Andersen. Can he run a tougher, meaner agency? |
Investment Advisor
April 1, 2011
Melanie Waddell |
SEC Funding in the Budget Fight Crosshairs Commission may be the biggest casualty as lawmakers continue tussle over the federal budget |
The Motley Fool
March 10, 2004
Selena Maranjian |
Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem. |
Registered Rep.
July 15, 2010
Kristen French |
Goldman Sachs Agrees To Record $550 Million Abacus Settlement The settlement, which must still be approved by the court, represents the first case brought by the S.E.C.'s new structured and new products unit. |
CFO
January 30, 2004
Tim Reason |
Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds. |
National Defense
September 2011
McGrath et al. |
New Rules Give Incentives to Whistleblowers As more than 1,500 letters to the SEC during the notice and comment period confirm, the Dodd-Frank whistleblower requirements are complex and the program is controversial. |
BusinessWeek
May 11, 2011
Barrett et al. |
The Rajaratnam Conviction: How Big a Victory? Raj Rajaratnam's conviction is the biggest blow against insider trading in a generation. Unfortunately, the Galleon case shows the problem is worse than ever. |
Registered Rep.
October 6, 2004
Leitch & Gaffen |
Raymond James Fights the SEC's Fraud Charges The SEC brought fraud charges against the Tampa-based firm, saying the firm had looked the other way when a former broker scammed investors of approximately $44.5 million between 1999 and 2000. |
The Motley Fool
April 27, 2010
Matt Koppenheffer |
Will Goldman Torpedo Your Portfolio? The media has made a big deal out of the SEC lawsuit, but what does it mean for you? |
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. |
The Motley Fool
May 12, 2010
Alex Dumortier |
Morgan Stanley Wishes It Weren't Like Goldman U.S. prosecutors are investigating whether Morgan misled investors in mortgage derivatives; similar to the charges against Goldman Sachs. |
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. |
