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Registered Rep.
August 29, 2012
Jerry Gleeson |
Blotter: September 2012 A former ESPN commentator and college football Hall of Fame coach and his colleague defrauded 97 investors in an $80 million Ponzi scheme, the SEC said.   |
Registered Rep.
December 4, 2012
Megan Leonhardt |
Blotter: December 2012 A former hedge fund manager for SAC Capital Advisors was arrested and charged with orchestrating a $276 million insider-trading scheme. |
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. |
Registered Rep.
March 1, 2008 |
Blotter SEC filed a civil action against five unregistered Florida brokers who were operating a pump-and-dump scheme... Third largest hedge fund fraud ever... |
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. |
Registered Rep.
January 2, 2013
Megan Leonhardt |
Blotter: January 2013 FINRA slapped a Pennsylvania advisor with a complaint in December after he allegedly forged client signatures to funnel client assets from one account to another, culminating in personal withdrawals of over $250,000. |
InternetNews
March 17, 2010 |
Russian Hackers Manipulated Stock Prices: SEC A sophisticated plan of password theft and stock manipulation targeted more than 30 public companies. |
Investment Advisor
February 2009
Bob Clark |
The Perfect Ponzi While the Madoff debacle has been a disaster for thousands of investors, the timing couldn't be better for independent advisors. |
Registered Rep.
August 1, 2011 |
Blotter Undercover Kickback... An Exceptional Sentence... |
Registered Rep.
June 1, 2012
Kristen French |
Blotter: June 2012 Mark Spangler, Nicholas Louis Geranio, and David Blech have each violated federal securities laws. |
Registered Rep.
February 25, 2009
John Churchill |
More Multi-Million Dollar Ponzis and Thousand-Dollar Teddy Bears! DOJ, SEC Bust and Freeze Assets of "Commodity Traders" Three new recent charges made by the SEC regarding alleged Ponzi schemes. |
Registered Rep.
April 1, 2007 |
Blotter Inside Job: The SEC charged 14 people in March in what one SEC official described as the biggest insider-trading scheme... Ponzi Scheming Manager: William Sirls, a former Wachovia branch manager was charged in early March with stealing... |
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.
November 1, 2006
John Churchill |
Blotter SEC Busts Another Ponzi... Broker Bends for Hedgies... NASD Says Firm Ignored Red Flags... |
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.
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... |
BusinessWeek
December 27, 2004
Emily Thornton |
Hedge Funds Find An Escape Hatch The loophole: Locked-up funds don't require oversight. That means more risk for investors. |
InternetNews
February 28, 2006
Roy Mark |
Feds Bust $50M Online Ponzi Scheme A North Carolina woman and her two companies settled federal charges that she operated a classic Ponzi scheme that generated $50 million on her paid "autosurf" Web site. |
Registered Rep.
July 1, 2006
John Churchill |
Blotter SEC Tackles Wachovia Insider... Supervisory Meltdown... Market Timing Geeks... |
Registered Rep.
February 23, 2007
Halah Touryalai |
Retail Hedge Fund Investors to the SEC: Buzz Off The SEC thinks it needs to do more to protect wealthy retail investors from the secretive world of hedge funds. But many wealthy investors say they can take care of themselves. |
BusinessWeek
July 29, 2010
Jesse Westbrook |
Whistleblowers Get a Raise The SEC will offer up to 30 percent of the money from fines to reward tipsters. |
Investment Advisor
January 2009
Jeff Joseph |
More Regulation Post-Madoff? The only thing they are certain of is that his alleged Ponzi scheme. |
Investment Advisor
August 2006
Melanie Waddell |
The Playing Field: Will the SEC Appeal? Hedge fund advisor registration has been an extremely contentious issue. Some feel there will be grave consequences for the SEC and the investing public should the House bill requiring registration be shot down. |
Registered Rep.
July 30, 2012
Kristen French |
Blotter: August 2012 Among other actions, in July, the SEC charged former Connecticut resident Jerry S. Williams, a stock promoter, and two companies that he controlled, Monk's Den and First In Awareness, with civil fraud. |
CFO
April 15, 2012
Sarah Johnson |
The SEC Wants a Raise The agency's FY2013 budget request meets resistance in Congress. |
Registered Rep.
June 3, 2009
David Geracioti |
ARS Games -- SEC Blames Firms, Settles with BAC, RBC and DEUTSCHE When the auction rate securities market froze up in February 2008, angry clients blamed their financial advisors. |
Registered Rep.
April 1, 2005 |
Blotter Punk'd: The NYSE and the states of New Jersey and Connecticut fined Merrill Lynch... Promises, Promises: The SEC has filed "an emergency civil action"... Scam artists: Former heads of First Capital Services... |
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
May 2010
Melanie Waddell |
30 for 30 Interviews: Harry Markopolos Independent financial fraud investigator Harry Markopolos identifies strengths and weakness of the SEC. |
Investment Advisor
July 2008
Melanie Waddell |
SEC Chairmen of Yore Speak Six former SEC chairmen pointed to quite a few regulatory challenges that loom large -- namely globalization of the world markets, the burgeoning market for complex synthetic securities, and the continued growth of hedge funds. |
Investment Advisor
May 2009
Melanie Waddell |
Danger & Opportunity: The SEC Reformation An exclusive interview with SEC chief Mary Schapiro regarding financial services reforms. |
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. |
Registered Rep.
March 10, 2010
Jerry Gleeson |
New RIA Custody Rules In Force Friday New rules aimed at preventing registered investment advisors from pulling off ponzi schemes are now in effect. |
Registered Rep.
January 9, 2007
John Churchill |
To Hedge Gets Harder The SEC proposed a rule in December that would raise the net worth requirements of investors in hedge funds to $2.5 million from $1 million, not including the value of one's home. |
Investment Advisor
November 17, 2010
Thomas D. Giachetti |
Will You Stay SEC Registered in 2011? Regulatory changes could cause confusion for advisors |
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. |
U.S. Banker
December 2004
Lee Conrad |
Compliance: Hedge Fund Registration Sparks Broad Criticism The Securities and Exchange Commission's decision to register most of the estimated 8,350 hedge funds is drawing heavy criticism from the business community and some government officials. |
Investment Advisor
September 2007
Melanie Waddell |
Hedge Funds Continue to Deregister During the past year, 732 hedge fund advisors have deregistered, according to the Investment Adviser Association and National Regulatory Services seventh annual report, Evolution/Revolution, which profiles the advisor profession. |
Investment Advisor
April 1, 2011
Thomas D. Giachetti |
Dodd-Frank: An Overview Of Pending Changes For Investment Advisors Dodd-Frank deadlines are fast approaching. Are you ready? |
On Wall Street
February 1, 2010 |
Five Questions with David Tittsworth David Tittsworth has served in all three branches of government and discusses ways to police the advisory business. |
Registered Rep.
December 16, 2005
Halah Touryalai |
Former Pru Broker Penalized for Abusive Trading Three years after the SEC charged five Boston-based Prudential Securities brokers for abusive mutual fund trading, one of the accused is being temporarily barred from association with any broker/dealer or investment advisor. |
The Motley Fool
October 2, 2009
Robert Brokamp |
Let's Fix the Rules of Enforcement Is the SEC up to the task? |
The Motley Fool
July 15, 2004
Tim Beyers |
SEC Hedges on Funds The Securities and Exchange Commission (SEC), in a hotly contested battle, chose to force more regulation on the fund industry. A new rule requires hedge funds to register. |
Registered Rep.
April 1, 2006
John Churchill |
Blotter Regulators Collar Bear... Pattern of Abuse... Junk Fax Scalping... Judge Freezes Ponzi Scheme... |
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. |
Registered Rep.
September 15, 2010
Kristen French |
Investors Think Insurance Agents, Brokers Are Fiduciaries Investors believe everyone who provides financial advice is already a fiduciary, according to a survey released Wednesday by a group of investment adviser and consumer protection groups. |
The Motley Fool
December 15, 2008
Alex Dumortier |
Avoiding the Next $50 Billion Ponzi Scheme The scandal and scope of Bernard Madoff's fraud is a further blow to the financial sector's reputation. |
Registered Rep.
June 29, 2010
Halah Touryalai |
The New Sheriffs In Town The SEC examines about 9 percent of the 11,000 or so advisory firms under its jurisdiction annually. All of that is about to change with a little help from regulators at the state level. |
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. |
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. |
