Compliance/Fraud Articles

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SEC Takes Aim At Hedged Mutual Funds’ Leverage, Liquidity

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The SEC is reviewing whether certain alternative mutual funds that mimic riskier hedge-fund strategies are complying with leverage and liquidity rules.

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Nabbing Crooked Advisor A Trophy For New SEC Investor Advocate

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To prevent future Madoffs, the SEC's first investor advocate says the agency needs to persuade Congress for enough money to examine more than just 9 percent of RIAs annually.

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SEC's Aguilar: Accountability May Be Lacking In Corporate Governance

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SEC Commissioner Luis Aguilar says some executives are rewarded handsomely for failure.

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Judge Orders Assets Frozen Of Bugatti-Driving Man Tied To $3B Stock Fraud

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A Manhattan District Court judge granted an SEC order sought against a man accused of operating a massive five-year “pump-and-dump” scheme using penny-stock Web sites.

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Former N.J. Broker Gets Six Years In Jail For Theft

by FA Staff

Randy Schneider, who accepted a plea bargain, was described as a "common thief in a business suit" by the state's acting attorney general.

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Most Businesses Plan Increase In Capital Investment, Survey Says

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Economists at a broad swath of U.S. businesses expect their firms will ramp up capital investments over the next year, a positive sign for the long-term economic growth outlook.

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SEC Said To Weigh Shining Light On Broker Role In Routing Stocks

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The SEC is weighing a requirement that brokers tell investors exactly where their stock trades go to be executed.

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Advisor Accused Of Commodities Fraud

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A financial advisor in New York City has been accused by the CFTC of running a fraudulent commodity pool.

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Brokerage Firms Charge Bonus Disclosure Plan Ignores Costs

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The brokerage industry is warning that lack of a cost-benefit analysis could doom Finra’s plan to require disclosure of broker-recruitment bonuses.

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How A 56-Year-Old Engineer’s $45,000 Loss Spurred SEC Probe

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The civil engineer's loss on a Credit Suisse exchange-traded note (ETN) shows why banks are being pressured by the SEC to beef up disclosures on the products.

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