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Month: May 2009

Blog, Securities Fraud

8th Circuit Addresses Scope of Fiduciary Duty

A panel of the 8th Circuit Court of Appeals addressed the scope of the fiduciary imposed on advisors of mutual funds by the Investment...

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Blog, Securities Fraud

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

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

Wall Street Firms Still Preoccupied with Big Sales not Good Advice

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

Regulators Require Disclosure Regarding Customer Complaints

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

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