http://topics.cnn.com/topics/feeds/rss/SEC_ActivitiesFind stories, videos, and photos about SEC Activities from CNN.com.en-usCable News Network LP, LLLP.Wed, 25 Nov 2009 17:45:09 GMT5http://i.cdn.turner.com/cnn/.element/img/1.0/logo/cnn.logo.rss.gifhttp://topics.cnn.com/topics/feeds/rss/SEC_Activities14433Find stories, videos, and photos about SEC Activities from CNN.com.http://money.cnn.com/2009/11/13/news/economy/madoff_tech_support/index.htmhttp://money.cnn.com/2009/11/13/news/economy/madoff_tech_support/index.htmFederal regulators on Friday charged two computer programmers for helping convicted swindler Bernard Madoff perpetrate one of the largest frauds in U.S. history.Fri, 13 Nov 2009 17:02:00 ESThttp://money.cnn.com/2009/10/13/news/companies/bank_of_america_merrill_info/index.htmhttp://money.cnn.com/2009/10/13/news/companies/bank_of_america_merrill_info/index.htmBank of America Corp. has agreed to share previously undisclosed information related to its purchase of Merrill Lynch with regulators investigating whether the company misled shareholders, the Securities and Exchange Commission said Tuesday.Tue, 13 Oct 2009 16:40:00 EDThttp://money.cnn.com/2009/09/22/news/companies/sec_bofa_rakoff.fortune/index.htmhttp://money.cnn.com/2009/09/22/news/companies/sec_bofa_rakoff.fortune/index.htmLast June, when Bank of America CEO Ken Lewis was asked by a U.S. House committee why the bank hadn't disclosed seemingly important information about its upcoming Merrill Lynch acquisition in a proxy statement last November, he had a ready response:Wed, 23 Sep 2009 13:01:00 EDThttp://money.cnn.com/2009/09/02/news/economy/Madoff_SEC_investigation/index.htmhttp://money.cnn.com/2009/09/02/news/economy/Madoff_SEC_investigation/index.htmThe Securities and Exchange Commission overlooked "more than ample" evidence, including six complaints, that red-flagged the Bernard Madoff Ponzi scheme, an internal watchdog said Wednesday.Thu, 03 Sep 2009 00:52:00 EDThttp://money.cnn.com/2009/08/06/news/companies/Greenberg_SEC/index.htmhttp://money.cnn.com/2009/08/06/news/companies/Greenberg_SEC/index.htmMaurice "Hank" Greenberg, former chief executive of American International Group, has agreed to pay $15 million to settle charges related to an accounting scandal, the Securities and Exchange Commission said Thursday.Thu, 06 Aug 2009 22:37:00 EDThttp://money.cnn.com/2009/08/04/news/companies/ge_accounting_fraud/index.htmhttp://money.cnn.com/2009/08/04/news/companies/ge_accounting_fraud/index.htmThe Securities and Exchange Commission on Tuesday filed a suit against General Electric claiming that it reported false results in its financial statements.Tue, 04 Aug 2009 15:39:00 EDThttp://money.cnn.com/2009/07/17/news/companies/mark_cuban.cnnw/index.htmhttp://money.cnn.com/2009/07/17/news/companies/mark_cuban.cnnw/index.htmA federal judge has dismissed the Securities and Exchange Commission's insider trading case against Dallas Mavericks owner Mark Cuban, CNN has confirmed.Fri, 17 Jul 2009 19:25:00 EDThttp://money.cnn.com/2009/06/22/news/economy/madoff_charges/index.htmhttp://money.cnn.com/2009/06/22/news/economy/madoff_charges/index.htmThe Securities and Exchange Commission on Monday charged a brokerage firm and several individuals with raising money from investors to feed Bernard Madoff's Ponzi scheme.Tue, 23 Jun 2009 11:04:00 EDThttp://www.cnn.com/2009/CRIME/06/18/stanford.fraud.charge/index.html#cnnSTCTexthttp://www.cnn.com/2009/CRIME/06/18/stanford.fraud.charge/index.html#cnnSTCTextTexas billionaire Allen Stanford was taken into custody Thursday night on a fraud-related charge in Stafford, Virginia, the FBI said.Fri, 19 Jun 2009 04:22:00 EDThttp://www.cnn.com/2009/CRIME/06/18/madoff.investigation/index.html#cnnSTCTexthttp://www.cnn.com/2009/CRIME/06/18/madoff.investigation/index.html#cnnSTCTextAdmitted fraudster Bernard Madoff, the mastermind of history's biggest Ponzi scheme, met with the Securities and Exchange Commission's top watchdog this week, several knowledgeable sources told CNN.Fri, 19 Jun 2009 02:40:00 EDThttp://money.cnn.com/2009/05/05/news/economy/reserve_fund/index.htmhttp://money.cnn.com/2009/05/05/news/economy/reserve_fund/index.htmThe Securities and Exchange Commission has filed fraud charges against the operators of the Reserve Primary Fund for failing to provide important information to investors and trustees about the fund's exposure to Lehman Brothers.Tue, 05 May 2009 22:08:00 EDThttp://www.cnn.com/2009/CRIME/03/17/stanford.taxes.IRS/index.html#cnnSTCTexthttp://www.cnn.com/2009/CRIME/03/17/stanford.taxes.IRS/index.html#cnnSTCTextAmerican financier R. Allen Stanford and his wife owe back taxes, penalties and interest of at least $226.5 million, the IRS said in court documents filed in Dallas, Texas.Tue, 17 Mar 2009 12:24:00 EDThttp://money.cnn.com/2009/03/06/news/companies/stanford_investors/index.htmhttp://money.cnn.com/2009/03/06/news/companies/stanford_investors/index.htmA federal judge has unfrozen the assets of about 12,000 people and groups who invested in companies of R. Allen Stanford, who is accused in a $9.2 billion fraud scheme.Fri, 06 Mar 2009 19:56:00 ESThttp://money.cnn.com/2009/03/04/news/newsmakers/stanford_influence.fortune/index.htmhttp://money.cnn.com/2009/03/04/news/newsmakers/stanford_influence.fortune/index.htmThe life of Sir Allen Stanford, the cricket and polo-loving financier who is being investigated for a potential Ponzi scheme, is a case study in how to buy respectability and influence.Wed, 04 Mar 2009 17:54:00 ESThttp://www.cnn.com/2009/CRIME/02/26/stanford.arrest/index.html#cnnSTCTexthttp://www.cnn.com/2009/CRIME/02/26/stanford.arrest/index.html#cnnSTCTextThe chief investment officer of the firm headed by financier Alan Stanford, who is accused in an alleged $8 billion fraud scheme, was arrested and charged Thursday in Houston, Texas.Fri, 27 Feb 2009 03:52:00 ESThttp://money.cnn.com/2009/02/26/news/economy/obama_newbudget/index.htmhttp://money.cnn.com/2009/02/26/news/economy/obama_newbudget/index.htmThe Obama administration announced plans Thursday to boost the U.S. Securities and Exchange Commission's budget by 13% to help the investor protection agency better police markets and detect fraud.Thu, 26 Feb 2009 18:10:00 ESThttp://money.cnn.com/2009/02/25/news/madoff_stanford_playbook.fortune/index.htmhttp://money.cnn.com/2009/02/25/news/madoff_stanford_playbook.fortune/index.htmIf successful businesses share certain "best practices," do scam artists have their own favored techniques? The banker R. Allen Stanford, while accused of a smaller scheme than Bernie Madoff's, conducted his business in ways that make it appear they were using a similar playbook.Wed, 25 Feb 2009 21:12:00 ESThttp://money.cnn.com/2009/02/19/news/newsmakers/stanford/index.htmhttp://money.cnn.com/2009/02/19/news/newsmakers/stanford/index.htmFederal agents have located financier Robert Allen Stanford and served him with papers accusing him and three of his companies of orchestrating a $9.2 billion investment fraud scheme, the FBI said Thursday.Fri, 20 Feb 2009 01:41:00 ESThttp://money.cnn.com/2009/02/18/technology/BearingPoint_bankrupt/index.htmhttp://money.cnn.com/2009/02/18/technology/BearingPoint_bankrupt/index.htmBearingPoint Inc, which provides technology and management consulting services to the U.S. government, filed for Chapter 11 bankruptcy Wednesday and said it reached an agreement with senior secured lenders to cut its debt load.Wed, 18 Feb 2009 16:53:00 ESThttp://money.cnn.com/2009/02/17/news/companies/investment_scheme_accusation/index.htmhttp://money.cnn.com/2009/02/17/news/companies/investment_scheme_accusation/index.htmThe Securities and Exchange Commission said Tuesday that it has charged financier R. Allen Stanford and three of his companies with orchestrating a $9.2 billion investment and sales fraud.Tue, 17 Feb 2009 22:46:00 ESThttp://money.cnn.com/2009/02/17/technology/RIM_backdating/index.htmhttp://money.cnn.com/2009/02/17/technology/RIM_backdating/index.htmBlackberry maker Research in Motion announced Tuesday that the company and four current and former officers have settled an options backdating case brought by the Securities and Exchange Commission.Tue, 17 Feb 2009 21:18:00 ESThttp://www.cnn.com/2009/CRIME/02/17/sec.stanford/index.html#cnnSTCTexthttp://www.cnn.com/2009/CRIME/02/17/sec.stanford/index.html#cnnSTCTextThe U.S. Securities and Exchange Commission has charged businessman Robert Allen Stanford with orchestrating an $8 billion fraudulent investment program.Tue, 17 Feb 2009 19:30:00 ESThttp://money.cnn.com/2008/12/18/news/economy/Lehman_insider_trading/index.htmhttp://money.cnn.com/2008/12/18/news/economy/Lehman_insider_trading/index.htmA former Lehman Brothers employee has been charged with illegal insider trading in a plot that accrued over $4.8 million in profits in a four-year span, according to a complaint filed by the Securities and Exchange Commission on Thursday.Fri, 19 Dec 2008 00:10:00 ESThttp://money.cnn.com/2008/12/15/news/companies/siemens_bribery/index.htmhttp://money.cnn.com/2008/12/15/news/companies/siemens_bribery/index.htmElectronic equipment maker Siemens AG has agreed to pay $1.4 billion Monday to U.S. and German authorities after the company allegedly engaged in bribery, the SEC said in a release.Mon, 15 Dec 2008 21:28:00 ESThttp://money.cnn.com/2008/12/11/markets/madoff_fraud/index.htmhttp://money.cnn.com/2008/12/11/markets/madoff_fraud/index.htmFormer Nasdaq chairman Bernard Madoff was arrested Thursday and charged with a single count of securities fraud for allegedly operating a multibillion-dollar Ponzi scheme from his investment advisory business, federal authorities said.Fri, 12 Dec 2008 11:22:00 ESThttp://money.cnn.com/2008/10/02/markets/thebuzz/index.htmhttp://money.cnn.com/2008/10/02/markets/thebuzz/index.htmRepublican presidential candidate John McCain caused some waves last month when he said that if he is elected to the White House, he'd fire SEC chairman Christopher Cox.Thu, 02 Oct 2008 16:51:00 EDThttp://money.cnn.com/2008/08/20/news/loeb.sec.fortune/index.htmhttp://money.cnn.com/2008/08/20/news/loeb.sec.fortune/index.htmThird Point Management, a New York hedge fund run by one of the country's most outspoken and controversial investors, has come under investigation from the Securities and Exchange Commission.Wed, 20 Aug 2008 19:17:00 EDThttp://money.cnn.com/2008/06/23/news/companies/Bears_dogs_Boyd.fortune/index.htmhttp://money.cnn.com/2008/06/23/news/companies/Bears_dogs_Boyd.fortune/index.htmGovernment documents supporting the charges filed last week against two former Bear Stearns hedge fund stars paint a picture of an organization that had a hard time tackling problems head-on - a flaw that ultimately would prove fatal to the firm.Mon, 23 Jun 2008 18:39:00 EDThttp://money.cnn.com/2008/06/06/magazines/fortune/Man_who_beat_SEC_Demos.fortune/index.htmhttp://money.cnn.com/2008/06/06/magazines/fortune/Man_who_beat_SEC_Demos.fortune/index.htmPhil Goldstein became a hedge fund manager thanks to a pair of gray sweatpants. In the summer of 1992 the 47-year-old civil engineer walked into Las Vegas's Mirage hotel to meet his first potential investor. The shorts he was wearing didn't meet the dress code of Moongate, a Chinese restaurant where the two men had planned to meet. He thought the rule was arbitrary, so he went to a nearby gift shop, purchased a pair of sweatpants, changed into them, and returned to the restaurant. After the meal he changed back into his shorts and returned the pants for store credit. When Goldstein also told the prospect that he was staying off the Strip, at a $39-a-night motel, the deal was sealed. "This is a man I want managing my money," the investor told his broker that night.Wed, 18 Jun 2008 07:48:00 EDThttp://www.time.com/time/business/article/0,8599,1779644,00.html?xid=feed-cnn-topicshttp://www.time.com/time/business/article/0,8599,1779644,00.html?xid=feed-cnn-topicsSecurities regulators on Wednesday charged Broadcom Corp. co-founders Henry T. Nicholas III and Henry Samueli with falsifying the company's reported incomeThu, 15 May 2008 00:00:00 EDThttp://money.cnn.com/2007/09/20/technology/jobs/index.htmhttp://money.cnn.com/2007/09/20/technology/jobs/index.htmApple CEO Steve Jobs has been subpoenaed by the Securities and Exchange Commission to give a deposition in a stock-options backdating case against Apple's former general counsel, a person familiar with the case told The Associated Press Thursday.Thu, 20 Sep 2007 09:27:00 EDThttp://money.cnn.com/2007/08/20/news/companies/sentinel.reut/index.htmhttp://money.cnn.com/2007/08/20/news/companies/sentinel.reut/index.htmThe Securities and Exchange Commission filed civil fraud charges on Monday against Sentinel Management Group, the cash management firm serving the U.S. futures industry that filed for Chapter 11 bankruptcy protection late on Friday.Mon, 20 Aug 2007 09:18:00 EDThttp://money.cnn.com/2007/07/25/news/companies/conagra.reut/index.htmhttp://money.cnn.com/2007/07/25/news/companies/conagra.reut/index.htmConAgra Foods Inc. agreed to pay $45 million to settle civil charges of financial fraud and improper accounting practices, the U.S. Securities and Exchange Commission said Wednesday.Wed, 25 Jul 2007 04:58:00 EDThttp://money.cnn.com/2007/07/05/news/companies/sec_new_century.reut/index.htmhttp://money.cnn.com/2007/07/05/news/companies/sec_new_century.reut/index.htmNew Century Financial Corp., a collapsed subprime lender that is liquidating in bankruptcy, said on Thursday the U.S. Securities and Exchange Commission has elevated its investigation of the company to formal status.Thu, 05 Jul 2007 10:24:00 EDThttp://money.cnn.com/2007/06/29/news/companies/bc.cvscaremark.sec.reut/index.htmhttp://money.cnn.com/2007/06/29/news/companies/bc.cvscaremark.sec.reut/index.htmTwo former executives at CVS/Caremark Corp. have settled charges with the U.S. Securities and Exchange Commission that they helped inflate earnings, despite an inventory of overvalued stuffed animals, the SEC said Friday.Fri, 29 Jun 2007 08:46:00 EDThttp://money.cnn.com/2007/06/26/markets/bc.sec.congress.probes.reut/index.htmhttp://money.cnn.com/2007/06/26/markets/bc.sec.congress.probes.reut/index.htmThe Securities and Exchange Commission has opened 12 investigations into collateralized debt obligations (CDO) linked to the sinking value of subprime mortgages and created a working group to focus on subprime market problems, the agency said Tuesday.Wed, 27 Jun 2007 01:47:00 EDThttp://money.cnn.com/2006/11/27/markets/hedge_funds_sec/index.htmhttp://money.cnn.com/2006/11/27/markets/hedge_funds_sec/index.htmThe Securities and Exchange Commission has scheduled a public meeting for Monday, Dec. 4, to consider two measures dealing with hedge funds.Mon, 27 Nov 2006 22:56:00 ESThttp://money.cnn.com/2006/11/16/news/companies/dell/index.htmhttp://money.cnn.com/2006/11/16/news/companies/dell/index.htmDell Inc. late Wednesday clarified that the company's decision to delay its earnings report was due to to issues it's facing in preparing the results and not linked to an ongoing Securities and Exchange Commission probe into the computer maker's accounting.Thu, 16 Nov 2006 13:05:00 ESThttp://money.cnn.com/2006/08/18/markets/markets_newyork/index.htmhttp://money.cnn.com/2006/08/18/markets/markets_newyork/index.htmStocks pulled off a late day comeback Friday, turning around a session that saw tech mostly in the red and which led the Nasdaq to post its highest one week percentage gain in over three years.Fri, 18 Aug 2006 13:25:00 EDThttp://money.cnn.com/2006/08/17/technology/dell/index.htmhttp://money.cnn.com/2006/08/17/technology/dell/index.htmDell reported quarterly sales above expectations and earnings that were in line with analysts' estimates Thursday. But profits were substantially lower than a year ago due to increased competition from rival Hewlett-Packard.Thu, 17 Aug 2006 15:47:00 EDThttp://money.cnn.com/2006/08/17/markets/markets_newyork/index.htmhttp://money.cnn.com/2006/08/17/markets/markets_newyork/index.htmFalling oil prices and Hewlett-Packard's upbeat earnings gave tech stocks a lift Thursday, but the broader market advance was mild after a sharp rally over the last two sessions.Thu, 17 Aug 2006 13:25:00 EDThttp://money.cnn.com/2006/01/12/news/companies/ibm_probe/index.htmhttp://money.cnn.com/2006/01/12/news/companies/ibm_probe/index.htmIBM said Thursday that the U.S. Securities and Exchange Commission is launching a formal investigation into the way IBM disclosed last year's first-quarter earnings and into changes in the way that it would expense for stock options.Thu, 12 Jan 2006 22:16:00 ESThttp://money.cnn.com/2005/08/24/markets/hedgefund_sec/index.htmhttp://money.cnn.com/2005/08/24/markets/hedgefund_sec/index.htmAn Atlanta hedge fund operator has been accused of using fake returns to lure investors and misappropriating the funds, according to the Securities and Exchange Commission.Wed, 24 Aug 2005 14:04:00 EDThttp://money.cnn.com/2005/08/23/news/fortune500/kmart/index.htmhttp://money.cnn.com/2005/08/23/news/fortune500/kmart/index.htmThe Securities and Exchange Commission filed civil charges against former Kmart CEO Charles Conaway and ex-financial chief John McDonald on Tuesday for allegedly misleading investors about the retailer's financial strength before the company declared bankruptcy, the SEC said in a statement.Tue, 23 Aug 2005 13:32:00 EDThttp://money.cnn.com/2005/05/16/retirement/pension_consultant/index.htmhttp://money.cnn.com/2005/05/16/retirement/pension_consultant/index.htmThe Securities and Exchange Commission said Monday it has discovered that pension consultants -- who advise companies on pensions and 401(k) plans -- have serious conflicts of interest and may be giving out biased advice.Mon, 16 May 2005 19:19:00 EDThttp://money.cnn.com/2005/03/23/funds/nasd_fines/index.htmhttp://money.cnn.com/2005/03/23/funds/nasd_fines/index.htmThe NASD Wednesday said it fined units of American Express Inc., Citigroup Inc. and J.P. Morgan Chase & Co. a total of $21.25 million for steering customers to mutual funds that were not the most cost-effective.Wed, 23 Mar 2005 15:46:00 ESThttp://money.cnn.com/2005/03/09/news/nyse_clerk/index.htmhttp://money.cnn.com/2005/03/09/news/nyse_clerk/index.htmA former clerk for a New York Stock Exchange floor broker was charged with securities fraud today by the SEC for his role in a trading scheme.Wed, 09 Mar 2005 19:28:00 ESThttp://money.cnn.com/2005/03/02/news/newsmakers/stern_sec/index.htmhttp://money.cnn.com/2005/03/02/news/newsmakers/stern_sec/index.htmThe Securities and Exchange Commission is expanding a probe into whether anyone profited from news that popular shock jock Howard Stern will move to Sirius Satellite Radio, according to some published reports Wednesday.Wed, 02 Mar 2005 11:15:00 ESThttp://money.cnn.com/2004/08/26/markets/deutschebank_thomasweisel/index.htmhttp://money.cnn.com/2004/08/26/markets/deutschebank_thomasweisel/index.htmDeutsche Bank Securities will pay $87.5 million and Thomas Weisel Partners will pay $12.5 million to settle conflict-of-interest securities research charges with government regulators, the Securities and Exchange Commission said Thursday.Thu, 26 Aug 2004 14:25:00 EDThttp://money.cnn.com/2004/08/09/funds/sec_vannuities/index.htmhttp://money.cnn.com/2004/08/09/funds/sec_vannuities/index.htmThe U.S. Securities and Exchange Commission said Monday it settled with two insurance companies on charges of allowing market timing in mutual funds through the sale of variable annuities, which are typically used as people near retirement.Mon, 09 Aug 2004 15:14:00 EDThttp://www.cnn.com/2004/ALLPOLITICS/08/04/kerry.halliburton/index.htmlhttp://www.cnn.com/2004/ALLPOLITICS/08/04/kerry.halliburton/index.htmlDemocratic presidential candidate John Kerry's campaign Wednesday called on the White House to release details of Vice President Dick Cheney's testimony in federal regulators' probe of the accounting practices of the company he once headed.Wed, 04 Aug 2004 22:49:00 EDThttp://money.cnn.com/2004/07/26/markets/sec_settlement/index.htmhttp://money.cnn.com/2004/07/26/markets/sec_settlement/index.htmThe Securities and Exchange Commission and the New York Stock Exchange announced a $5.2 million settlement Monday with two Wall Street specialist firms that were under joint investigation for violating both federal securities laws and Exchange rules.Mon, 26 Jul 2004 13:12:00 EDThttp://money.cnn.com/2004/07/01/markets/goldman/index.htmhttp://money.cnn.com/2004/07/01/markets/goldman/index.htmGoldman, Sachs & Co., the New York investment banking powerhouse, has been slapped with a $2 million fine for prematurely hyping and offering to sell shares in certain initial public offerings it underwrote, the Securities and Exchange Commission announced Thursday.Thu, 01 Jul 2004 14:28:00 EDThttp://money.cnn.com/2004/06/24/news/fortune500/sec_fleet/index.htmhttp://money.cnn.com/2004/06/24/news/fortune500/sec_fleet/index.htmThe SEC said Thursday that it settled an insider trading investigation with a former FleetBoston employee who allegedly bought Fleet securities shortly before the company said it would be bought by Bank of America.Thu, 24 Jun 2004 14:33:00 EDThttp://money.cnn.com/2004/05/11/news/midcaps/warnaco/index.htmhttp://money.cnn.com/2004/05/11/news/midcaps/warnaco/index.htmWarnaco Group Inc., its former auditor PricewaterhouseCoopers LLP, ex-CEO Linda Wachner and others have agreed to pay $4 million to settle charges related to the company's financial disclosures, federal regulators said Tuesday.Tue, 11 May 2004 16:20:00 EDThttp://money.cnn.com/2004/03/30/markets/nyse_sec.dj/index.htmhttp://money.cnn.com/2004/03/30/markets/nyse_sec.dj/index.htmThe New York Stock Exchange, on the eve of a $240 million regulatory settlement with its largest floor-trading firms, is bracing for possible civil charges from the Securities and Exchange Commission that it failed to enforce its own rules in connection with the traders' mishandling of customer orders, people familiar with the matter told Tuesday's Wall Street Journal.Tue, 30 Mar 2004 10:32:00 ESThttp://money.cnn.com/2004/02/13/news/companies/martha/index.htmhttp://money.cnn.com/2004/02/13/news/companies/martha/index.htmMartha Stewart won a round in court Friday as a judge ruled that prosecutors cannot call expert witnesses to testify that she duped investors into buying stock in her company by making false statements.Fri, 13 Feb 2004 11:51:00 ESThttp://money.cnn.com/2004/01/13/funds/fundsfire_abuses/index.htmhttp://money.cnn.com/2004/01/13/funds/fundsfire_abuses/index.htmSecurities regulators said Tuesday that they've found widespread abuses at 13 out of 15 Wall Street brokerages probed in the sale of mutual fund shares.Tue, 13 Jan 2004 17:46:00 ESThttp://money.cnn.com/magazines/fortune/fortune_archive/2002/09/16/328593/index.htmhttp://money.cnn.com/magazines/fortune/fortune_archive/2002/09/16/328593/index.htmLast March I wrote a column that included the sentence below. See if you can guess who objected to it. Mon, 16 Sep 2002 04:01:00 EDThttp://money.cnn.com/magazines/fortune/fortune_archive/2002/05/13/322896/index.htmhttp://money.cnn.com/magazines/fortune/fortune_archive/2002/05/13/322896/index.htmTo most investors, news of an SEC investigation is the ultimate sell signal. Not to Chuck Papageorgiou. The 39-year-old Atlanta consultant is one of an admittedly small number of investors who have...Mon, 13 May 2002 04:01:00 EDThttp://money.cnn.com/magazines/fortune/fortune_archive/2002/04/29/321984/index.htmhttp://money.cnn.com/magazines/fortune/fortune_archive/2002/04/29/321984/index.htmIf the sec seems as if it's been on the warpath lately, well, it has. "It's been a busy year," says Bob Herdman, the SEC's chief accountant. CEO Joe Nacchio, whose company, Qwest, is under SEC inve...Mon, 29 Apr 2002 04:01:00 EDThttp://money.cnn.com/magazines/moneymag/moneymag_archive/2001/03/01/297135/index.htmhttp://money.cnn.com/magazines/moneymag/moneymag_archive/2001/03/01/297135/index.htmLast fall the Securities and Exchange Commission made 15-year-old Jonathan Lebed a teen celebrity. Thu, 01 Mar 2001 05:01:00 ESThttp://money.cnn.com/magazines/moneymag/moneymag_archive/1999/05/01/259230/index.htmhttp://money.cnn.com/magazines/moneymag/moneymag_archive/1999/05/01/259230/index.htmEarly in March, online stock tipster Tokyo Joe Park ("Smokin' Joe," April) and some of his followers received subpoenas from the Securities and Exchange Commission. It seems SEC investigators want ...Sat, 01 May 1999 04:01:00 EDThttp://money.cnn.com/magazines/fortune/fortune_archive/1996/09/30/217427/index.htmhttp://money.cnn.com/magazines/fortune/fortune_archive/1996/09/30/217427/index.htmIn an exclusive enclave on the north shore of Lake Tahoe, Warren Trepp tries to accentuate the positive. As Michael Milken's former head trader--Trepp sat next to Milken at the center of the infamo...Mon, 30 Sep 1996 04:01:00 EDThttp://money.cnn.com/magazines/moneymag/moneymag_archive/1992/02/01/87136/index.htmhttp://money.cnn.com/magazines/moneymag/moneymag_archive/1992/02/01/87136/index.htmYes, we agree with your December Editor's Notes: the SEC should demand more disclosure from tax-exempt money-market fund managers. More and more Americans are getting fed up every day with governme...Sat, 01 Feb 1992 05:01:00 EST