Several SEC officials have signaled that the Commission is thinking about imposing a requirement on investment advisory firms to hire an independent auditor to report ...
For seven years Sean Mansfield labored at Financial Counselors, an advisory firm in West Springfield, Mass., where he also served as CCO. Last month authorities ...
A New York judge ruled April 3 to continue his order to freeze the assets of Peter Madoff, who appeared in court for the first ...
In a bipartisan letter timed to next week’s Commission meeting addressing short selling, six senators are urging SEC Chairman Mary Schapiro to oversee the reinstatement ...
The Financial Accounting Standards Board responded to calls in Congress and on Wall Street to relax its mark-to-market rules. This week FASB, meeting in Philadelphia, ...
Massachusetts authorities have charged Fairfield Greenwich Advisors and Fairfield Greenwich (Bermuda) with securities fraud for failing to perform due diligence and shirking their fiduciary duty ...
Senator Christopher Dodd (D-Conn.) and Rep. Barney Frank (D-Mass.) – two congressional leaders over financial services legislation – have written President Obama pledging their “commitment ...
There are some technical and formatting errors with the filing of Form SH via EDGAR, the SEC reports.These errors may affect firms that file Form ...
Now the legal spotlight has shifted to Bernard Madoff's brother, Peter, who worked for decades at Bernard L. Madoff Investment Securities - including as CCO. ...
In testimony March 26 before Congress, Treasury Secretary Timothy Geithner called for the creation of an independent regulator to monitor systemic risks, higher capital standards, ...