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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...   |
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.
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.
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.
June 1, 2012
Kristen French |
Blotter: June 2012 Mark Spangler, Nicholas Louis Geranio, and David Blech have each violated federal securities laws. |
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. |
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.
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. |
InternetNews
May 31, 2007
Clint Boulton |
SEC Settles Backdating Cases With Mercury, Brocade The Securities and Exchange Commission settled stock-option backdating cases with Mercury Interactive and Brocade Communications Systems totaling $35 million. |
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.
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... |
InternetNews
March 9, 2007
Clint Boulton |
SEC Cracking Down on Spam 'Pump and Dump' The SEC has suspended securities trading of 35 companies as part of a new crackdown on market manipulation via spam. |
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. |
CFO
June 1, 2008
Alan Rappeport |
Suddenly, It's Here The SEC votes unanimously to soon require companies to file data-tagged financial statements. The move seems certain to breathe new life into XBRL (extensible business reporting language), the data-tagging scheme for financial reports. |
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. |
Sports Central
April 28, 2014
Jean Neuberger |
SEC: Eight is Enough The SEC announced that they are not moving to a nine game schedule. They are sticking with the eight game rotating slate they currently have. |
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. |
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. |
Sports Central
September 17, 2014
Jean Neuberger |
Outside Looking In If Michigan State, Ohio State, or even Wisconsin were to run the rest of their table and head into the bowl season with just one loss on their resume, they'd still need a lot of help to get into the playoff. |
Registered Rep.
April 28, 2010
Bill Singer |
The SEC's Own Report Says that It Missed Tips and Clues in a Giant Ponzi Some have alleged improper political motives in the Stanford case, which the SEC has denied. |
The Motley Fool
October 8, 2010
Travis Hoium |
Fuqi International Shares Popped: What You Need to Know I am wary of any company being investigated by the SEC, so watch that you don't get caught in an avalanche if it finds something. |
Registered Rep.
November 1, 2006
John Churchill |
Blotter SEC Busts Another Ponzi... Broker Bends for Hedgies... NASD Says Firm Ignored Red Flags... |
BusinessWeek
December 30, 2009
Jesse Westbrook |
Why the SEC Keeps Backpedaling New Chairman Schapiro could be caving in to business pressure. |
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. |
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. |
Registered Rep.
August 1, 2011 |
Blotter Undercover Kickback... An Exceptional Sentence... |
Sports Central
August 20, 2004
Kevin Beane |
Slant Pattern's ACC and SEC Preview SEC East--Florida starts winning games they used to lose. SEC West--it's LSU, as Nick Saban proves his genius at building game plans. ACC--Florida State is back, with the highest-scoring and smoothest running offense in the country. |
Investment Advisor
April 2009
Melanie Waddell |
All About Enforcement It's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm |
Registered Rep.
May 10, 2007
Kristen French |
SEC Impostors on the Loose The SEC issued an alert to securities industry firms, warning them to keep an eye out for impostors -- individuals pretending to work for the SEC. |
Registered Rep.
June 18, 2010
Bill Singer |
The UK Junks Its FSA, When Will We Junk The SEC The SEC is a gas-guzzling dinosaur of a vehicle whose engine warning-light went on years ago. It is a wheezing, dyspeptic boiler in our basement. Nothing good will come of this. |
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.
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. |
Sports Central
June 10, 2013
Jean Neuberger |
Eight is Enough For SEC ... Or is It? Alabama's Nick Saban called for the SEC to join other BCS schools in creating a new, nine game conference slate each season. Saban claims it's the best thing to do for the game itself. And, given the current state, Saban has a good point to make. |
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. |
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
October 2, 2009
Robert Brokamp |
Let's Fix the Rules of Enforcement Is the SEC up to the task? |
Sports Central
January 1, 2007
Ross Lancaster |
Crimson Tide Once Proud, Now Forgettable? Despite having three non-winning season in four years, Alabama football is still one of the most tradition-rich programs in the country. |
Investment Advisor
January 2009
Jeff Joseph |
More Regulation Post-Madoff? The only thing they are certain of is that his alleged Ponzi scheme. |
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. |
Sports Central
January 17, 2012
Paul Foeller |
Hold on a SEC It seems like next year is set up perfectly to give the SEC its seventh straight championship -- three of the teams (Alabama, Arkansas, and LSU) likely to make the preseason top five will come from the same division within the SEC. |
Sports Illustrated
October 8, 2002
Ivan Maisel |
The Deep South Any of seven teams could win the SEC title as Georgia and Mississippi staked their claims in a wide-open race. |
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. |
InternetNews
October 22, 2004
Colin C. Haley |
Qwest Settles Fraud Charges The voice and data carrier will pay $250 million to end a two-and-a-half year probe. |
Financial Planning
February 1, 2007
Lynn Hume |
The Bond Buyer The Justice Department and SEC investigations of municipal-bond-related investments and derivatives will overshadow, if not dominate, much of what happens on the securities side of the muni market during the coming year. |
Sports Central
November 26, 2012
Ross Lancaster |
The Case for Florida After Notre Dame's 22-13 win against USC effectively clinched its spot in Miami on Jan. 7, the Fighting Irish will almost surely play the winner of next Saturday's SEC Championship Game between Georgia and Florida for the BCS crown. |
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. |
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. |
Wall Street & Technology
February 27, 2005
Beth Bacheldor |
A Watchdog to Watch In his first CIO job, Corey Booth, just 34 years old, is leading the IT department of one of the country's most closely watched and influential government agencies: the Securities and Exchange Commission. |
Investment Advisor
November 2009
Melanie Waddell |
SEC Sets Out Strategic Plan The Securities and Exchange Commission publishes its Draft Strategic Plan outlining the Commission's strategic goals for 2010 through 2015. |
