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11:06am
Judge questions BofA settlement
...in corporate governance and disclosure, including on...resolve two lawsuits by the Securities and Exchange Commission against the largest US bank...executive Kenneth Lewis and former chief financial officer...48 on the New York Stock Exchange.The federal cases are...vs Bank of America Corp et al, New York State Supreme... By
February 3, 2010
SEC loses complaint against Madoff broker
...dismissed a civil complaint by the US Securities and Exchange Commission against a New York broker it accused...channelling investors into Bernard Madoff’s Ponzi scheme.The SEC alleged last June that Cohmad Securities Corporation, a registered broker dealer, and three of its top employees, ignored... By Alan Rappeport in New York
February 3, 2010
SEC loses complaint against broker linked to Madoff
...dismissed a civil complaint by the US Securities and Exchange Commission against a New York broker it accused...channelling investors into Bernard Madoff's Ponzi scheme.The SEC alleged last June that Cohmad Securities -Corporation, a registered broker dealer, and three of its top employees, ignored... By Alan Rappeport in New York
December 12, 2009
Adviser probed over Madoff
...criminal investigation in connection with the Bernard Madoff Ponzi scheme, according to court documents. Prosecutors...charges against feeder funds that channelled money to Mr Madoff. Stanley Chais, the investment adviser, was sued by the US Securities and Exchange Commission in June. Prosecutors have asked a judge to delay the... By Joanna Chung
September 7, 2009
SEC censured after missed opportunities over Madoff
The US Securities and Exchange Commission closed its investigation into Bernard Madoff , calling it a "fishing expedition...about the former broker's business and honesty, according to a scathing...Even when officials did catch Mr Madoff in lies and contradictions, they failed to follow... By Joanna Chung and Alan Rappeport
September 4, 2009
SEC closed Madoff ‘fishing expedition’
The US Securities and Exchange Commission closed its investigation into Bernard Madoff, calling it a “fishing expedition...the former broker’s business and honesty, according to a scathing...Even when officials did catch Mr Madoff in lies and contradictions, they failed to... By Joanna Chung and Alan Rappeport in New York
August 13, 2009
Blunders sustained Madoff fraud
...on Tuesday to 10 criminal charges and is co-operating with prosecutors and the Securities and Exchange Commission. Based partly on his information...authorities filed documents alleging how Mr Madoff repeatedly deceived regulators and... By Greg Farrell and Brooke Masters
August 12, 2009
Blunders sustained Madoff fraud
...on Tuesday to 10 criminal charges and is co-operating with prosecutors and the Securities and Exchange Commission. Based partly on his information...authorities filed documents alleging how Mr Madoff repeatedly deceived regulators and... By Brooke Masters and Greg Farrell
October 30, 2009
Madoff ‘amazed’ at escaping 2006 check
...Ponzi” scheme in history – Mr Madoff told the Securities and Exchange Commission it was “amazing” he had not been...two inspectors who visited Bernard Madoff Investment Securities, his New York firm, in 2006... By Francesco Guerrera and Alan Rappeport in New York
October 31, 2009
Madoff 'amazed' at escaping 2006 check
...Ponzi" scheme in history - Mr Madoff told the Securities and Exchange Commission it was "amazing" that he had not...two inspectors who visited Bernard Madoff Investment Securities, his New York firm, in 2006, would... By Francesco Guerrera and Alan Rappeport in New York