Entries tagged "Securities and Exchange Commission"

Companies outraged about proxy proposal

A new SEC rule that would give shareholders greater access to vote has incited a chorus of opposition from small business owners to big time CEOs.

Madoff surprised he was not caught sooner

It appears that no one was more surprised by the Securities and Exchange Commission's inability to uncover his fraud than convicted Ponzi schemer Bernie Madoff himself.

SEC got it right with Galleon?

The SEC has taken a lot of flack, but in the case of alleged insider trading at Galleon Group, the agency should be commended.

Study: 20% of hedgies are fibbers

One out of five hedge fund managers misled investors about assets under management, past performance and/or regulatory issues, finds a new study.

Bank of America's enemies list

The list of people gunning for Ken Lewis and Bank of America is growing in leaps and bounds.

Angelides Commission -- 1 investigation too many?

Investigations into the financial crisis have proliferated like securitized subprime loans.

Madoff on how to outsmart the SEC

The Securities and Exchange Commission is facing yet another red-face moment over the Bernard Madoff case.

Cuomo and BofA in bicep-flexing match

Cuomo's office sent a letter on Tuesday to BofA's outside representation threatening to file charges over the acquisition of Merrill Lynch.

SEC finds it dropped the ball on Madoff

Bernie Madoff swindled investors underneath the noses of the SEC. A report finds the agency was simply incompetent, had a healthy helping of poor follow-up, with a dash of gullibility.

Will Goldman get off scot free?

Jacob Zamansky thinks that neither the SEC nor Finra has the will to go to the mat with Goldman Sachs Group over the 'trading huddles.'

BofA's saga over Merrill bonuses continues

Bank of America defended in a court filing its decision not to disclose details about Merrill's bonuses in advance of a shareholder vote on the merger.

Putting Pequot's 45 SEC tips in context

The SEC received 45 tips of possible insider trading and market manipulation at Pequot since 2005. So, is that a lot? The answer: um, yeah.

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