Most Active Articles 2009-11-24T08:23:41.161-05:00 Business Exchange Business_Exchange@businessweek.com urn:com:businessweek:bx:topic:most-active:securities--exchange-comm-sec Steve Bobrov sbobrov064 urn:com:businessweek:bx:article:11805139203250972252-8a80df22de9d7885a2ebc2db9d26fd25 2009-11-18T12:36:31.363-05:00

The SEC charged Ezra Levy, former CFO of hedge fund manager Boston Provident LP, with securities fraud. In June 2009, Mr. Levy allegedly made unauthorized trades from his own personal account to Boston Provident's accounts at an above-market price.

The SEC charged Ezra Levy, former CFO of hedge fund manager Boston Provident LP, with securities fraud. In June 2009, Mr. Levy allegedly made unauthorized trades from his own personal account to Boston Provident's accounts at an above-market price. http://www.hedgetracker.com/article/CFO-of-Boston-Provident-Charged-with-Securities-Fraud Todd Walker rwienke085 1 0 1 0 urn:com:businessweek:bx:article:3582837510671736089-04bf1be8907b04cb67f2634635d35d93 2009-11-11T18:11:34.242-05:00

Last week the SEC charged Value Line Inc., an affiliated broker-dealer Value Line Securities (VLS), and two of Value Line's senior officers with defrauding the firm's family of mutual funds. Value Line's CEO Jean Buttner and its former Chief...

Last week the SEC charged Value Line Inc., an affiliated broker-dealer Value Line Securities (VLS), and two of Value Line's senior officers with defrauding the firm's family of mutual funds. Value Line's CEO Jean Buttner and its former Chief... http://www.hedgetracker.com/article/Value-Lines-24-million-Fraud-Scheme-ends-after-almost-20-years Todd Walker rwienke085 3 2 1 0 urn:com:businessweek:bx:article:8142519742954561095-c16dabe9304c8b93cffa02475cb33dcf 2009-11-06T13:01:25.657-05:00

The government's case against Raj Rajaratnam, founder of hedge fund Galleon Group, on the charge of insider trading, alleges that the hedge fund manager's primary competitive advantage for investors was a web of connections close to or inside...

The government's case against Raj Rajaratnam, founder of hedge fund Galleon Group, on the charge of insider trading, alleges that the hedge fund manager's primary competitive advantage for investors was a web of connections close to or inside... http://www.hedgetracker.com/article/What-the-SEC-Should-Learn-from-Raj-Rajaratnam-and-the-Galleon-Group Todd Walker rwienke085 5 4 1 0 urn:com:businessweek:bx:article:10850675161418748776-01aa9b0a754749b53ca8d045d4fc0132 2009-11-02T15:07:29.900-05:00

Posted By Norb Vonnegut on November 2, 2009 Madoff and Galleon—the two scandals are unrelated. But together, they raise an important question: Who stole the security from the Securities and Exchange Commission? According to The New York Times, the...

Posted By Norb Vonnegut on November 2, 2009 Madoff and Galleon—the two scandals are unrelated. But together, they raise an important question: Who stole the security from the Securities and Exchange Commission? According to The New York Times, the... http://acrimoney.com/2009/11/02/commission-impossible/ Norb Vonnegut nvonnegut318 1 1 0 0 urn:com:businessweek:bx:article:15801575193135080059-5ecf739210ca7e347b3e69d599d98382 2009-10-30T21:41:01.525-04:00

You like transparency? Here you go. The SEC just made a MASSIVE document dump related to its failure to catch Madoff. Of course, it's all embarrassing, so it's on a Friday afternoon, when everyone's too lazy to go through it. There are 536 documents in total.

You like transparency? Here you go. The SEC just made a MASSIVE document dump related to its failure to catch Madoff. Of course, it's all embarrassing, so it's on a Friday afternoon, when everyone's too lazy to go through it. There are 536 documents in total. http://www.businessinsider.com/sec-makes-massive-friday-afternoon-news-dump-of-madoff-documents-2009-10 Henry Blodget hblodget186 3 3 0 0 urn:com:businessweek:bx:article:16030274916538073884-d8b0387ec4a72f83a4c83820d9ffdb24 2009-10-27T21:10:21.620-04:00

Lawrence Lessig's recent thought-provoking article in the New Republic, "Against Transparency: The perils of openness in government," challenges the assumption that more sunlight is always a better disinfectant for corruption and bad behavior...

Lawrence Lessig's recent thought-provoking article in the New Republic, "Against Transparency: The perils of openness in government," challenges the assumption that more sunlight is always a better disinfectant for corruption and bad behavior... http://www.hedgetracker.com/article/The-Truth-in-Lessigs-Critique-of-Transparency Todd Walker rwienke085 2 2 0 0 urn:com:businessweek:bx:article:11296513301738554472-9ab09260072ffd86758a7f23c76bb6b5 2009-10-19T21:39:39.292-04:00

The most precious commodity on Wall Street is information, and savvy players will do almost anything for it ... But now some of Wall Street’s biggest hedge funds are watching nervously as prosecutors say that Raj Rajaratnam, a billionaire fund manager, went too far in this relentless quest for a trading edge.

The most precious commodity on Wall Street is information, and savvy players will do almost anything for it ... But now some of Wall Street’s biggest hedge funds are watching nervously as prosecutors say that Raj Rajaratnam, a billionaire fund manager, went too far in this relentless quest for a trading edge. http://www.nytimes.com/2009/10/20/business/20insider.html Thomas Huynh thuynh381 3 2 0 1 urn:com:businessweek:bx:article:6610924630841214160-b43eb7a0634f74f86093c2980ac6524d 2009-03-21T19:11:00.000-04:00

...people receiving Social Security, SSI and other ... that was approved, that the soc sec admin will

...people receiving Social Security, SSI and other ... that was approved, that the soc sec admin will http://answers.yahoo.com/question/index?qid=20090321161134AAvoV0S 83 83 0 0 urn:com:businessweek:bx:article:1536315967893571947-7199b65ae4840ec0907b2be4af0e83dc 2009-10-20T23:25:57.046-04:00

The SEC has charged Ronnie Eugene Bass, Jr., Abner Alabre, and Brian J. Taglieri with fraud for operating a Ponzi scheme through their companies HomePals Investment Club and HomePals. The three South Florida residents are reported to have raised at least $14.3 million from April to December of 2008 from a community of Haitian-Americans living in Florida and New Jersey, with Mr. Bass “selling unsecured notes and promising to double investors’ money every 90 days,” according to an SEC press release...

The SEC has charged Ronnie Eugene Bass, Jr., Abner Alabre, and Brian J. Taglieri with fraud for operating a Ponzi scheme through their companies HomePals Investment Club and HomePals. The three South Florida residents are reported to have raised at least $14.3 million from April to December of 2008 from a community of Haitian-Americans living in Florida and New Jersey, with Mr. Bass “selling unsecured notes and promising to double investors’ money every 90 days,” according to an SEC press release... http://www.hedgetracker.com/article/HomePals-not-so-Friendly-to-Investors-Three-Indicted-in-Ponzi-Scheme Todd Walker rwienke085 0 0 0 0 urn:com:businessweek:bx:article:13423695495134211941-19590ad536ade32fcdd8319818a82c9e 2009-09-30T11:29:22.875-04:00

Securities and Exchange Commission’s independent watchdog called for a sweeping overhaul of the agency’s investigation and enforcement practices on Tuesday, after a blistering report on the S.E.C.’s failure to detect Bernard L. Madoff’s extensive ponzi scheme.

Securities and Exchange Commission’s independent watchdog called for a sweeping overhaul of the agency’s investigation and enforcement practices on Tuesday, after a blistering report on the S.E.C.’s failure to detect Bernard L. Madoff’s extensive ponzi scheme. http://www.nytimes.com/2009/09/30/business/30sec.html?_r=1&ref=business John Tozzi jtozzi282 2 1 0 1 urn:com:businessweek:bx:article:16330410798051635751-f9079bbb1072c4e58d253164a908ce1e 2009-10-09T19:22:39.729-04:00

I’m writing this blog six days after the close of the month and for most companies, the quarter. Our benchmark research on the closing process finds that only half of midsize- (100-999 employees) and large companies (1,000+ employees) have closed their books at this point, even though best practice is to have completed the accounting cycle by this date.

I’m writing this blog six days after the close of the month and for most companies, the quarter. Our benchmark research on the closing process finds that only half of midsize- (100-999 employees) and large companies (1,000+ employees) have closed their books at this point, even though best practice is to have completed the accounting cycle by this date. http://www.ventanaresearch.com/blog/commentblog.aspx?id=3326 Ventana Research vresearch293 0 0 0 0 urn:com:businessweek:bx:article:343353272807473955-08c6136d90f84fe88e3dd475c2c78641 2009-10-02T23:04:01.526-04:00

Over the past 2 weeks, I've criticized Yahoo!'s (YHOO) Carol Bartz and HP's (HPQ) Mark Hurd for excessive pay and perks, given their companies' recent performance. It's been interesting to read the many emails I've received on the...

Over the past 2 weeks, I've criticized Yahoo!'s (YHOO) Carol Bartz and HP's (HPQ) Mark Hurd for excessive pay and perks, given their companies' recent performance. It's been interesting to read the many emails I've received on the... http://www.hedgetracker.com/article/Shareholders-Must-Put-an-End-to-Decoupled-PayforPerformance# Todd Walker rwienke085 0 0 0 0 urn:com:businessweek:bx:article:15768951003172581454-94839b507d070154b7940ea003829dd1 2009-09-19T21:24:04.912-04:00

In response to my recent criticisms of Carol Bartz, her management team, and board at Yahoo! (YHOO), I've had some people ask me "How can you be against management? Don't you support business and capitalism?" When did it become assumed that anyone...

In response to my recent criticisms of Carol Bartz, her management team, and board at Yahoo! (YHOO), I've had some people ask me "How can you be against management? Don't you support business and capitalism?" When did it become assumed that anyone... http://www.hedgetracker.com/article/CEOs-Boards-and-Management-Welcome-to-Club-Crony Todd Walker rwienke085 0 0 0 0 urn:com:businessweek:bx:article:12253163843335507965-5cdc4d438a704fde49b521a49b62d9b4 2009-09-18T08:09:19.745-04:00

September 18, 2009 SEC Seeks to Ban Flash Trading. The Securities and Trading Commission of United States proposed a ban on flash trading and new rules for credit-rating agencies in a meeting held Thursday. Commissioners of the regulatory body voted...

September 18, 2009 SEC Seeks to Ban Flash Trading. The Securities and Trading Commission of United States proposed a ban on flash trading and new rules for credit-rating agencies in a meeting held Thursday. Commissioners of the regulatory body voted... http://www.thebusinessedition.com/sec-seeks-to-ban-flash-trading-2192/ Puneet Mehrotra pmehrotra889 0 0 0 0 urn:com:businessweek:bx:article:17877021753928365630-71f7364c853bb9c2aa27f562297f18f3 2009-09-11T08:59:16.580-04:00

The Securities and Exchange Commission is facing yet another red face moment over the Bernard Madoff case. Massachusetts Secretary of State William Galvin released a transcript of a phone call with Fairfield Greenwich Group Wednesday during which...

The Securities and Exchange Commission is facing yet another red face moment over the Bernard Madoff case. Massachusetts Secretary of State William Galvin released a transcript of a phone call with Fairfield Greenwich Group Wednesday during which... http://www.thedeal.com/dealscape/2009/09/madoff_on_how_to_outsmart_the.php Tom Groppe tgroppe167 1 1 0 0 urn:com:businessweek:bx:article:16925711688642517828-dff21c8afb8e5b2ee40b67b333c629fd 2009-07-29T14:44:42.446-04:00

Bernard Madoff, the financier convicted for Wall Street's biggest investment fraud, was surprised his $65 billion Ponzi scheme was not uncovered sooner, he said in his first interview since entering prison

Bernard Madoff, the financier convicted for Wall Street's biggest investment fraud, was surprised his $65 billion Ponzi scheme was not uncovered sooner, he said in his first interview since entering prison http://finance.yahoo.com/career-work/article/107431/madoff-cannot-believe-fraud-lasted-so-long.html;_ylt=Al2FigR017jJ1xbOUABSdb.7YWsA?sec=topStories& Lauren Young lyoung404 9 4 0 5 urn:com:businessweek:bx:article:8857998639422290889-e415d09eb533580368197915fa06360c 2009-09-11T08:51:51.528-04:00

Then-SEC Chairman Harvey Pitt, now CEO of Washington-based business consulting firm Kalorama Partners, was in his office a little after 8 a.m. on Tues., Sept. 11, 2001, when an assistant dashed into his office to...

Then-SEC Chairman Harvey Pitt, now CEO of Washington-based business consulting firm Kalorama Partners, was in his office a little after 8 a.m. on Tues., Sept. 11, 2001, when an assistant dashed into his office to... http://www.thedeal.com/dealscape/2009/09/harvey_pitt_recalls_911_decade.php Tom Groppe tgroppe167 0 0 0 0 urn:com:businessweek:bx:article:6338403759188320748-285208497b1d2932b9381d0848059988 2009-09-04T21:37:01.382-04:00

In the face of the Hedge Fund Transparency Act, and the increasing demands from investors and prospects to disclose more detailed and frequent information, many hedge funds find themselves spending a great amount of their resources gathering,...

In the face of the Hedge Fund Transparency Act, and the increasing demands from investors and prospects to disclose more detailed and frequent information, many hedge funds find themselves spending a great amount of their resources gathering,... http://www.hedgetracker.com/article/Hedge-Funds-use-Technology-to-alleviate-burdens-of-Transparency Todd Walker rwienke085 1 1 0 0 urn:com:businessweek:bx:article:10123994582411488421-19e01dc747e4d9ede5c53976e62e9be7 2009-09-04T21:42:32.701-04:00

After the meltdown of firms like Lehman Brothers, Citigroup (C), Bank of America (BAC), Fannie Mae (FNM), Freddie Mac (FRE) and General Motors, and the knock-on effect this has had on our entire economy, it's fair to ask the question: Where were the...

After the meltdown of firms like Lehman Brothers, Citigroup (C), Bank of America (BAC), Fannie Mae (FNM), Freddie Mac (FRE) and General Motors, and the knock-on effect this has had on our entire economy, it's fair to ask the question: Where were the... http://www.hedgetracker.com/article/SECs-LongAwaited-Proxy-Changes-Make-Much-Sense-Despite-Protests Todd Walker rwienke085 0 0 0 0 urn:com:businessweek:bx:article:2816806078404498348-914754e23630a50b8756f4e87a915307 2009-09-02T17:38:12.629-04:00

The Securities & Exchange Commission had several chances to uncover Bernard Madoff's huge Ponzi scheme dating back to 1992 but admits it failed

The Securities & Exchange Commission had several chances to uncover Bernard Madoff's huge Ponzi scheme dating back to 1992 but admits it failed http://www.businessweek.com/bwdaily/dnflash/content/sep2009/db2009092_764788.htm Shirley Brady sbrady224 0 0 0 0 urn:com:businessweek:bx:article:18245770919763009141-09f04586c4e35a0e6f7b1fafb3d209f3 2009-08-26T08:55:18.474-04:00

The Wall Street Journal on Tuesday reported that hedge funds are the Internal Revenue Service's next target in the agency's renewed quest to ferret out tax evaders. But not everyone is in agreement that it has the resources to do so.

The Wall Street Journal on Tuesday reported that hedge funds are the Internal Revenue Service's next target in the agency's renewed quest to ferret out tax evaders. But not everyone is in agreement that it has the resources to do so. http://www.thedeal.com/dealscape/2009/08/inefficiency_hedge_funds_irs.php Tom Groppe tgroppe167 0 0 0 0 urn:com:businessweek:bx:article:10384563662762416140-3b3eca46c75803c986c5ec327186d7de 2009-08-20T18:09:25.421-04:00

There's pretty much no way we can ever expect the Securities and Exchange Commission to be competent at regulating high tech trading methods. The odds are too badly stacked against the SEC, and the rewards from the private markets are too great.

There's pretty much no way we can ever expect the Securities and Exchange Commission to be competent at regulating high tech trading methods. The odds are too badly stacked against the SEC, and the rewards from the private markets are too great. http://www.businessinsider.com/the-sec-cant-keep-up-with-high-tech-trading-2009-8 Ben Steverman bsteverman434 0 0 0 0 urn:com:businessweek:bx:article:4510781723150352424-a630da5afc452571445700f71634ab6c 2009-05-16T15:46:08.967-04:00

WASHINGTON — Two enforcement lawyers at the Securities and Exchange Commission are under investigation for possible criminal violations of insider trading laws after an inquiry by the agency’s inspector general. The investigation “revealed...

WASHINGTON — Two enforcement lawyers at the Securities and Exchange Commission are under investigation for possible criminal violations of insider trading laws after an inquiry by the agency’s inspector general. The investigation “revealed... http://www.nytimes.com/2009/05/16/business/16insider.html?ref=global-home Ronald Garner rgarner120 5 4 0 1 urn:com:businessweek:bx:article:7407936589124223360-b0e9eb0a04bcccd576acee607380849e 2009-08-13T15:42:13.199-04:00

So who was Chasing Benjamin in yesterday's excitement? Seems like the gang that was short and losing their Benjamin's. This chart from Ryan Renicker of Newedge, and his desciption. Calculated the average intraday % return for 2 categories within the...

So who was Chasing Benjamin in yesterday's excitement? Seems like the gang that was short and losing their Benjamin's. This chart from Ryan Renicker of Newedge, and his desciption. Calculated the average intraday % return for 2 categories within the... http://dailyoptionsreport.com/blog/post/got-shorty1/ Ben Steverman bsteverman434 0 0 0 0 urn:com:businessweek:bx:article:18143830464983533862-afb6063add21797bf97bfe1b0d868e48 2009-04-27T17:13:37.723-04:00

The SEC's new chief says moves are afoot to empower shareholders

The SEC's new chief says moves are afoot to empower shareholders http://www.sec.gov/news/speech/2009/spch042709mls.htm Cristina Lindblad clindblad377 6 6 0 0