Complaint filed in New York State against Peter Madoff, former CCO of Bernard L. Madoff Investment Securities.
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 ...
In letters and speeches, investment industry advocates are lobbying Congress on how to pursue a potential harmonization of regulations governing investment advisers and broker-dealers. IA ...
March 16th has come and gone, which means the deadline has passed for all Form D filings with the SEC to be made electronically (IA ...
The allegations state Brian Travis and Nick Vulpis lived well on the $312,000 in bribes they received from brokers anxious to run their trades. The ...
The number's up for Bernie Madoff's accountant David Friehling. The SEC has charged Friehling with securities fraud for falsely claiming he had audited Bernard L. ...
The recent enforcement case costing Merrill Lynch $1 million (IA Week, Feb. 9, 2009) highlights the need to not only give clients and prospective clients ...
So whatever happened to the SEC's Form ADV, Part 2 proposal (IA Week, Dec. 15, 2008)? It rests "high on the agenda for this year," ...
Some investors blame the SEC; others themselves. Many of them describe the pain and human tragedies caused by the loss of their investments in Bernard ...
Credit Bernard Madoff for prompting the tax man to change its rules. The IRS announced last week two new rulings that allow victims of Ponzi ...