SEC complaint filed against Bernie Madoff accountant David Friehling of Friehling & Horowitz.
A fair valuation request form, courtesy of David Hunt, that lays out a good procedure to substantiate valuation of a security.
Firms that engage in retail foreign exchange activities, supervision procedures that promote good compliance, sales practices to seniors, anti-money laundering efforts and other examination topics ...
It appears the Madoffs liked to name their boats after “bull,” own a $39,000 Steinway piano, several cars and houses in Manhattan, Montauk, N.Y., Palm ...
One way to relieve worries about dual registrants that self-custody client assets would be for the SEC to do a combined investment adviser and broker-dealer ...
Court documents released March 10 reveal details of the alleged Ponzi scheme run by disgraced investment adviser Bernie Madoff.As all indications suggest Madoff will ...
Amid talk of a return of the Uptick rule, the SEC has set up a meeting for April 8 to discuss whether to propose short ...
For the first time, the SEC's proposed budget for FY2010 would top $1 billion. If Congress approves that amount, the agency would be able to ...
It lasted nearly 70 years before the SEC banished the so-called Uptick rule in 2007 and now - not even two years later - the ...
Some days the investor was a Swiss money manager. Other days a private bank in Switzerland. In the end, the deep-pocketed investor was simply a ...