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2007
 Evergreen
Investment Management Market timing
Morgan
Stanley settles best execution case
Zurich
Capital - Financing improper market timing
American
Stock Exchange Regulatory oversight
Banc
of America Securities Research practices
Goldman
Sachs Customer oversight
Fred
Alger Management Market timing
2006
Friedman
Billings PIPEs
China
Energy Savings Stock manipulation
Jefferies
Illegal broker gifts
SEC_CODE_REF_0090001192884
BISYS
Mutual fund fees
Prudential
Mutual fund market timing
Philadelphia
Stock Exchange Specialist oversight
- SEC charges Phlx with failing to police its
specialists
- Phlx settles; Agrees to floor member and regulatory staff training and to
regulatory auditor
- SEC press release
6.01.06
-
C&D order
Auction
rate securities Market trading practices
Crowell
Weedon USA Patriot Act
- Broker-dealer
sanctioned over USA Patriot Act
- Failed to properly document its
customer identification program
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Press release
5.22.06
-
Order
Morgan
Stanley E-mail retention
 SEC
overturns NASD's lifetime ban against Quattrone
SEC
brings more charges in Merrill squawk box case  Bear
Stearns settles market timing charges
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