SIPC bankruptcy court filing listing Madoff credit card records from 2008.
Slattery report on BLMIS funds, filed in SIPC bankruptcy case in May 2009.
Copy of agenda and CCOutreach materials from SEC for 2009 meetings.
A 2009 SEC document request list from an exam of a dually registered investment advisory and broker-dealer.
Investments in mutual funds in 2008 dropped 20% to $9.6 trillion from $12 trillion the previous year. The numbers for closed-end funds and UITs suffered ...
In reforming financial services regulation, Congress should set up a new oversight board that would report to the SEC and be responsible for setting and ...
Tougher rules regarding custody, surprise exams by CPAs and a mandated, independent compliance audit are among the proposals the SEC is considering, says Chairman Mary ...
A widening probe of fraud tied to New York's largest pension fund has snagged Saul Meyer, who founded one RIA and has ties to another. ...
The legal actions spawned by the Bernie Madoff scam keep coming. In an amended complaint filed against Fiserv, lawyers claim RIA RogersCasey - acting as ...