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Explanations, warnings and links to related articles published by U.S. government agencies.
www.sec.gov
Category: Society > Issues > Fraud > Investment > Ponzi or Pyramid Schemes
How to Avoid Internet Investment Scams
Securities and Exchange Commission information about investment fraud.
www.sec.gov
Category: Society > Issues > Fraud > Internet
Examination Findings Regarding Broker-Dealer Sales of Variable Insurance Products
This joint 2004 SEC-NASD report reviews weak sale practices associated with deferred variable annuities and gives recommendations including taking the customer's age into consideration. (PDF)
www.sec.gov
Category: Society > Issues > Violence and Abuse > Elder > Financial Abuse > Variable Annuity Fraud
SEC Statement Concerning WorldCom
"The WorldCom disclosures confirm that accounting improprieties of unprecedented magnitude have been committed in the public markets."
www.sec.gov
Category: Society > Issues > Business > Allegedly Unethical Firms > MCI WorldCom
Provides links to SEC and court documents regarding the WorldCom case.
www.sec.gov
Category: Society > Issues > Business > Allegedly Unethical Firms > MCI WorldCom
SEC Charges WorldCom’s Former CFO with Financial Fraud
The commission charged Scott D. Sullivan, WorldCom's former Chief Financial Officer, with altering WorldCom's books and making false and misleading statements about the health of the company. [SEC]
www.sec.gov
Category: Society > Issues > Business > Allegedly Unethical Firms > MCI WorldCom
Morgan Stanley Settles Conflicts of Interest Charges
Securities and Exchange Commission sued the firm claiming its research analysts were subject to inappropriate influence by its investment banking division.
www.sec.gov
Category: Society > Issues > Business > Allegedly Unethical Firms > Morgan Stanley
SEC Charges Morgan Stanley With Inadequate Disclosure in Fund Sales
Firm pushed "preferred" funds and failed to inform customers about higher fees associated with certain class of shares.
www.sec.gov
Category: Society > Issues > Business > Allegedly Unethical Firms > Morgan Stanley
Complaint: SEC v. Morgan Stanley Regarding Stock Research Conflicts of Interest
Complaint filed with the U.S. District Court alleging conflicts of interest for Morgan Stanley's research analysts with respect to investment banking activities and considerations.
www.sec.gov
Category: Society > Issues > Business > Allegedly Unethical Firms > Morgan Stanley
SEC: Citigroup Helped Enron Commit Fraud
Alleged that the firm mislead investors by characterizing loan proceeds as cash from operating activities.
www.sec.gov
Category: Society > Issues > Business > Allegedly Unethical Firms > Citigroup
SEC Sues Citigroup for Research Analyst Conflicts of Interest
Research analysts at Salomon Smith Barney published false or misleading research reports that were exaggerated, unwarranted, or lacked a reasonable basis.
www.sec.gov
Category: Society > Issues > Business > Allegedly Unethical Firms > Citigroup
SEC: Goldman Sachs Research Analyst Conflicts of Interest
Alleged that the research team was aligned with and pitched the firm's investment banking activities.
www.sec.gov
Category: Society > Issues > Business > Allegedly Unethical Firms > Goldman Sachs
SEC: Goldman Sachs Traded Based on Non-Public Information
Determined that the form willfully violated the provisions of the Exchange Act that prohibit fraud by broker-dealers and government securities dealers.
www.sec.gov
Category: Society > Issues > Business > Allegedly Unethical Firms > Goldman Sachs
Putnam Agrees to Pay for Losses Attributable to Excessive Trading
SEC found that Putnam committed securities fraud by failing to disclose potentially self-dealing excessive short-term and market timing trading.
www.sec.gov
Category: Society > Issues > Business > Allegedly Unethical Firms > Putnam Investment Management
Putnam Agrees to Pay to Resolve Market Timing Charges by SEC
Putnam settles with SEC for violating federal securities laws by failing to disclose improper market timing trading by its portfolio managers.[SEC]
www.sec.gov
Category: Society > Issues > Business > Allegedly Unethical Firms > Putnam Investment Management
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