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Month: May 2009

Blog, Securities Fraud Articles

SEC Charges Madoff Auditors

The SEC charged the auditors of Bernard Madoff’s broker-dealer firm with committing securities fraud by representing that they had...

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Blog, Securities Fraud Articles

Merrill Lynch Ok’s funeral trust deal

Merrill Lynch & Co. has agreed to pay $18 million to end a State of Illinois investigation into its role in the erosion of a trust that...

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Blog, Securities Fraud Articles

Wall Street Firms Still Preoccupied with Big Sales

Lest you believe that Wall Street has changed its stripes, and is now in the business of financial advising and consulting rather than...

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Blog, Securities Fraud Articles

Brokers must Disclose Customer Complaints

Regulators Require Brokerage Firms to Provide More Public Disclosure Regarding Customer Complaints On May 13, 2009, the U.S. Securities and...

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