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Deephaven Capital Fined $5.75 Million for Insider Trading Charges
Star Tribune, 5/4/06
[View]
AIG Sued over Revenue-Sharing Programs
Investment News, 5/1/06
[View]
Former Citigroup Executives to Face Fee Charges
Wall Street Journal, 4/27/06
[View]
NASD Fines AIG Unit for More than $1.1 Million
Market Watch, 4/5/06
[View]
Smith Barney Agrees to Pay $50 Million to Settle Suit
Investment News, 4/3/06
[View]
Bear Stearns to Pay $250 Million for Market-Timing Violations
Financial Planning, 3/20/06
[View]
H&R Block Sued Over Fee Disclosure
Wall Street Journal, 3/16/06
[View]
SEC Accuses Hedge Fund of Fraud
Yahoo Finance, 3/7/06
[View]
Merrill Lynch Covers up Harmful Trading in Mutual Fund
Lipper, 2/14/06
[View]
NYSE Fines Bear Stearns $1.5 Million for Trading Violations
Yahoo Finance, 2/9/06
[View]
NASD Accuses A.G. Edwards of Receiving Kickbacks
Money Management Executive, 1/24/06
[View]
NASD Charges Oppenheimer for Not Giving Proper Discounts
Wall Street Journal, 1/10/06
[View]
Oppenheimer Fined $4.4 Million
Money Management Executive, 1/3/06
[View]
6 Ex-Putnam Officers Accused of Fraud
CNN Money, 1/3/06
[View]
Class Action Suit Filed Against Wells Fargo
Market Wire, 12/19/05
[View]
Merrill Lynch, Wells Fargo, and Linsco Fined $19.4 Million by NASD
Bloomberg.com, 12/20/05
[View]
Ameriprise Fined $59.3 Million for Fund Charges
Money Management Executive, 12/2/05
[View]
NASD Fines State Street $1.4 Million for Bond Trading
Investment News, 11/28/05
[View]
Ameriprise to Pay over $1.25 Million for Improper Sales Practices
Investment News, 10/31/05
[View]
Edward D. Jones Fined $300,000 for Failing to Disclose Municipal Bond Yields
NASD - Press Room, 9/29/05
[View]
3 Brokerage Firms Fined by NASD and 1 Firm Expelled
Bloomberg News, 11/1/05
[View]
NASD Fines 8 Member Firms $7.75 Million
Investment News, 10/17/05
[View]
NASD Recommends Sanction Against Evergreen Investments
Money Management Executive, 10/21/05
[View]
Merrill Lynch Probed by NASD for Slighting Smaller Clients
Wall Street Journal, 10/18/05
[View]
NASD Nails ING with $1.5 Million Fine
Money Management Executive, 10/4/05
[View]
Seligman Clash with Regulators Continues
Morningstar, 9/30/05
[View]
Pacific Life in Class Action Lawsuit for Securities Fraud
Investment News, 9/26/05
[View]
Case Closed in Oppenheimer Revenue-Sharing Settlement
Money Management Executive, 9/16/05
[View]
MetLife Slapped with Subpoenas over Payouts
Investment News, 8/15/05
[View]
Ex-Prudential Broker Pleads Guilty
TheStreet.com, 9/21/05
[View]
Putnam to Distribute $40 Million to Shareholders for Misconduct
Money Management Executive, 9/14/05
[View]
UBS being Prosecuted for Pushing Funds
ArriveNet, 9/9/05
[View]
Banc of America Securities Receives Scrutiny from SEC
Money Management Executive, 9/07/05
[View]
SEC Rebukes Money Manager for Overcharging Fund Holders with Fees
Wall Street Journal, 8/25/05
[View]
NYSE Fines Merrill Lynch $10 Million
Wall Street Journal, 8/16/05
[View]
NASD Issues New Guidelines to Fort Misleading EIA Marketing
NASD, 8/1/05
[View]
Inappropriate Fee-Based Accounts Cost Morgan Stanley $6.1 Million
InvestmentNews, 8/8/05
[View]
Fidelity Hit with Wells Notice
Morningstar, 8/8/05
[View]
Criminal Charges Brought Against Individual in MF Scandal
Money Management Executive, 8/3/05
[View]
Columbia Fund in “Tail Spin“
Wall Street Journal, 7/29/05
[View]
Former Merrill Lynch Compliance Officer Guilty
New York Times, 7/29/05
[View]
CIBC Agrees to Pay $125 Million to SEC
Money Management Executive, 7/20/05
[View]
Former AIM Executives Forced to Pay Hefty Fine
Money Management Executive, 7/20/05
[View]
Citizens Financial Group Taking Heat from SEC
The New York Times, 7/14/05
[View]
American Express Fined $7.4 Million
Star Tribune, 7/13/05
[View]
Bank of America Reaches Agreement with Regulators
Money Management Executive, 7/14/05
[View]
Bear Stearns under Scrutiny for Assistance in Improper Trading
Wall Street Journal, 6/23/05
[View]
Fiserv Manager Sanctioned for “Market Timing“
Money Management Executive, 6/30/05
[View]
Ex-Merrill Broker Facing Squawk Violations
TheStreet.com, 6/15/05
[View]
15 Firms Charged with Brokerage Violations, Fines totaling more than $34 Million
NASD - Press Room, 6/8/05
[View]
Janus Fighting Lawsuit
Money Management Executive, 5/16/05
[View]
A.G. Edwards Faces Allegations of Shady Fund Sales
Money Management Executive, 5/10/05
[View]
Paulson Investments Challenging NASD Charges and $866,000 Fine
Money Management Executive, 5/13/05
[View]
Court rules that case against Putnam Investments can go forward
Investment News, 5/09/05
[View]
Oppenheimer charged with failing to cooperate
Investment News, 5/09/05
[View]
Fidelity Investment traders trade drugs for business
Investment News, 5/09/05
[View]
Regulators fine Waddell and Reed
Wall Street Journal, 05/02/05
[View]
American Express Unit Files Suit
[View]
Investors Allege Kickbacks at A.G. Edwards
4/14/05
[View]
New York Attorney General Recovers $2.3 Billion
4/11/05
[View]
AIG Admits ‘Improper’ Accounting
04/04/05
[View]
Edward D. Jones is Facing a Possible NASD Fine of $1.7 Million
4/04/05
[View]
SEC Questions Capital Research Over Commissions for American Funds
4/01/05
[View]
American Funds Battles California Over Broker Kickbacks
[View]
Another Stock Trader Bids Fidelity Adieu
[View]
SEC Cracks Down on Putnam Yet Again with $40M Fine
[View]
NASD Fines Brokers for Market Timing in Variable-life Policy
[View]
Merrill Lynch is Fined for Fund Violations
3/08/05
[View]
Market Timing at Putnam Cost Investors $48.5 Million
3/07/05
[View]
SEC Investigates Nuveen for $2.8M in Overcharged Performance Fees
3/04/05
[View]
Putnam to Pay $83 Million More in Restitution
3/04/05
[View]
Merrill Ordered to Pay 2 Clients Over Analyst Conflicts on Stocks
3/01/05
[View]
Insurance Probes Spotlight Disclosure of Commissions
2/28/05
[View]
National Association of Securities Dealers Fines Two Brokerage Firms
2/23/05
[View]
Elder Abuse
2/21/05
[View]
New Hampshire Sues American Express for Fund Sales Contests
2/22/05
[View]
Massachusetts Regulator on the Annuity Sales Prowl
2/22/05
[View]
NASD Takes Aim at American Funds
2/17/05
[View]
SEC Discovers Late Trading at Bear Stearns
2/22/05
[View]
American Express Unit Accused of Fraud
2/18/05
[View]
Senior Citizens Slam Deferred Annuities
2/14/05
[View]
Bank of America To Pay $375 Million
2/16/05
[View]
SEC Forces Funds to Disclose Manager Pay
2/08/05
[View]
Schwab Accused of Elder Abuse in VA Sales
2/03/05
[View]
Marsh to Pay $850 Million to Settle Charges by Spitzer
1/31/05
[View]
Massachusetts Sues A.G. Edwards Over Market Timing
2/03/05
[View]
Morgan Stanley Settles for $19M for Communication Failure and Embezzlement
1/17/05
[View]
Morgan Stanley Sued Over Annuities
1/21/05
[View]
NYSE Fines Piper Jaffray for $250,000
1/12/05
[View]
Jones Netted $82.5M from Revenue Sharing in 2004
1/18/05
[View]
Legitimacy Questioned After Regulators Review Jones’ Revenue Sharing
1/14/05
[View]
SEC Probes J.P. Morgan Role in Canary’s Improper Trades
12/30/04
[View]
Regulators Find Problem Trading at Edward Jones
12/29/04
[View]
Putnam Continues to Bleed Assets
12/29/2004
[View]
Spitzer to Expand Insurance Probe in Matter of Weeks
12/28/04
[View]
12b-1 Fees, Annuities Seen as Targets of Continuing Reform
12/28/2004
[View]
SEC Divulges Details of How Edward Jones Pushed Mutual Funds
12/23/04
[View]
H&R Block Settles Timing Case for $825K
12/22/04
[View]
Canada Funds Pay $163 Million to Settle Market-Timing Allegations
12/20/04
[View]
Fidelity Disciplines 14 Traders, Two Others Depart Amid Gift Probe
12/20/04
[View]
First Command Pays $12M for Suckering Soldiers
12/16/04
[View]
No End in Sight for Fund Industry Probes
12/15/04
[View]
Perks Often Lavished on Fund Execs (Fidelity Caught in Net!)
12/13/04
[View]
Franklin Advisers and Franklin Templeton Distributors to Pay $20 Million
12/13/04
[View]
Hedge Funds Hide Lackluster Performance
12/10/04
[View]
Company Stops Marketing High-Fee Fund to Soldiers
12/10/04
[View]
American International Group, Inc Agrees to Pay $126 Million
11/30/04
[View]
Math Problem: 1 Supervisor per 106 Branches
Investment News, 11/29/04
[View]
SEC Halts $18 Million Securities Fraud in San Diego
U.S. Securities and Exchange Commission, 11/18/04
[View]
Insurer Gets Subpoena No. 5
Star Tribune, 11/17/04
[View]
No Prospectus? NYSE Blames Brokerage Firms
Wall Street Journal, 11/16/04
[View]
Pilgrim and Baxter to Pay $160 Million in Trading Scandal
Wall Street Journal, 11/18/04
[View]
SEC Concerns
Wall Street Journal, 11/15/04
[View]
Franklin Resources Near Settlement
Wall Street Journal, 11/15/04
[View]
AIG is Near Closing Settlement with SEC Over PNC
Wall Street Journal, 11/15/04
[View]
Marsh Eliminates 5% of Its Workforce
Minnesota Public Radio, 11/09/04
[View]
Wall Street’s ‘Conflict Reviews’: What’s the Next Step?
Wall Street Journal, 11/04/04
[View]
More Subpoenas
Wall Street Journal, 11/04/04
[View]
Jury Convicts Merrill, Enron Executives
Star Tribune, 11/04/04
[View]
“Advisers selling DC plans must improve fee disclosure“
Investment News, 11/01/04
[View]
Citigroup admits it crippled a fund
Star Tribune, 10/31/04
[View]
Big Fees Hit Small Plans
Wall Street Journal, 10/21/04
[View]
Concern Widens Over Contingencies Between Health Insurers and Brokers
Wall Street Journal, 10/21/04
[View]
Back Off! Businesses Go Toe-to-Toe With SEC
Wall Street Journal, 10/27/04
[View]
Funds Act to Comply with SEC Rule
Wall Street Journal, 10/27/04
[View]
Depending on Independent Directors
Wall Street Journal, 10/12/04
[View]
The Watchdog That Didn’t Bark
Money Magazine, October 2004
[View]
Did AIG Hold Back on Its News?
Wall Street Journal, 10/05/04
[View]
Chief Investment Officer Leaves AIM Investments
Wall Street Journal, 10/05/04
[View]
CA Comes Down on Annuity Bait-and-Switch
Money Management Executive, 09/16/04
[View]
PIMCO Units in Directed Brokerage Charge
Money Management Executive, 09/16/04
[View]
Schwab Fined $350K for Late Trading
Money Management Executive, 09/15/04
[View]
ING Tells More About Timing Deals
MorningstarAdvisor.com, 09/10/04
[View]
SEC Settles with Invesco's Miller
MorningstarAdvisor.com, 09/08/04
[View]
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