February

• KPMG consultant  Aiding and abetting
• Dow Jones director   Insider trading
• Hedge fund   Market timing

January

• Monster Worldwide CEO  Option backdating
• PWC employees    Insider trading

December

• Refco counsel  Aiding and abetting
• San Diego auditor  Municipal bond offerings
• United Health CEO  Option backdating
• Maxim Integrated  Option backdating

November

• Chancellor Corp CEO  Fraud
• Chevron  FCPA

October

• DHB Industries CEO  Insider trading
• Nortel Networks  Revenue recognition
• Hibernia - CapOne merger  Short sales
• Dynegy executives  Cash flow accounting
• York International   FCPA

September

• CDR Financial Products  Municipal bond offerings
• Freddie Mac  Derivate accounting
• Regional Brokers, Inc  Municipal bond trading
• Alexander Trabulse  Hedge fund
• Bristow Group  FCPA
• Mark Ristow  Mutual-to-stock conversions
• 38 Wall Street traders  Stock lending scam
• HSBC  Use of name
• Evergreen  Market timing
• Supermarket executives  Vendor rebates
• 69 audit firms  PCAOB registration
• Nortel Networks  Reserves - Earnings management

August

• KLA-Tencor general counsel  Option timing
• Brocade CFO/COO  Option timing
• Nicor executives  LIFO inventory
• First BanCorp  Aiding and abetting
• PETCO buyout  Insider trading
• Integrated Silicon Solution Option timing

June

• IBM Analyst presentation - Disclosures re option expenses

• SEC press release  6.05.07
• C&D order

May

• Mercury Interactive  Option backdating

• SEC press release  5.31.07
• Litigation release
• SEC complaint

• Brocade  Option backdating

• SEC press release  5.31.07
• Litigation release

• Barclays Insider trading
• BISYS  Revenue recognition

• Bert Fingerhut  Bank mutual to stock conversions

• SEC press release  5.16.07
• Litigation release
• SEC complaint

• Oracle employees  Balkenhol - Insider trading / Spouses
• Jennifer Wang - Ruben Chen  Insider trading / Spouses
• Morgan Stanley  Best execution
• Zurich Capital  Market timing
• TXU call options Insider trading

April

• Apple general counsel  Option backdating
• Tenet Healthcare  Revenue recognition
• Nicor  Revenue recognition
• David Stockman - C&A execs  Revenue recognition

March

• American Stock Exchange  Regulatory oversight
• Hollinger COO  Misappropriation

• SEC press release
• Litigation release
• SEC complaint

• Raytheon  Revenue recognition
• Banc of America Securities  Research practices
• Goldman Sachs  Customer oversight
• Nortel executives  Revenue recognition
• Able Laboratories  Insider trading
• Gateway Computers executives  Revenue recognition
• Wall Street trading ring  Insider trading

February

• McAfee general counsel  Option backdating
• Monster general counsel  Option backdating
• Take-Two CEO  Option backdating
• Rosenthal family  Insider trading
• Engineered Support executives  Option backdating
• RenaissanceRe  Revenue recognition

January

• MBIA  Revenue recognition
• Fred Alger Management  Market timing
• Comverse general counsel  Option backdating

December

Friedman Billings  PIPEs

China Energy Savings  Stock manipulation

Jefferies  Illegal broker gifts

November

Spiegel  Delayed periodic reporting

October

Delphi  Financial fraud

Comverse Technology  Option backdating

Schnitzer Steel  Foreign Corrupt Practices Act

Statoil, ASA  Foreign Corrupt Practices Act

September

RenaissanceRe  Revenue recognition

BISYS  Mutual fund fees

Doral Financial  Revenuerecognition

August

Prudential  Mutual fund market timing

July

Brocade executives  Option backdating

June

Madison Dearborn executive  Insider trading

Scientific-Atlanta  Aiding and abetting

Philadelphia Stock Exchange  Specialist oversight

May

Auction rate securities  Market trading practices

Tribune Corp  Revenue recognition

Fannie Mae pays $400mm fine over misstated financials

Crowell Weedon  USA Patriot Act

Morgan Stanley  E-mail retention

Former Gemstar CEO ordered to pay $22mm penalty

Deephaven Capital  PIPEs - Insider trading

April

SEC charges $300mm fraud in entertainment industry

Tyco settles SEC fraud charges; Pays $50mm penalty

SEC brings charges against insider trading ring

March  

SEC charges KPMG auditors for altering work papers

SEC overturns NASD's lifetime ban against Quattrone

SEC brings more charges in Merrill squawk box case

Bear Stearns settles market timing charges

February  

Symbol Technologies General Counsel Option backdating

NetEase.com  Revenue recognition

Xerox auditor KPMG partners

American International Group AIG

AIG - Gen Re Executives Fraud

Citigroup Senior Vice Chairman  Insider trading

Biogen Idec general counsel  Insider trading

McAfee  Revenue recognition

Applix  Revenue recognition

Lee David Edelman  Insider trading

Putnam Fiduciary Trust  Transfer agent

December

Veras Capital Market timing

Herwitz - Stanyer  Howard Sterns Sirius deal

NCFE Executives  Fraud

SEC_CODE_REF_0090001192884

Goodfellow - Molaris  Insider loan ban

November

Royal Ahold vendors  False audit confirmations

October

Mutual fund market timing settlement

Xerox auditor  KPMG

American Tissue auditor  Arthur Andersen

September

Adelphia auditors  Deloitte

Bayou Funds  Hedge fund misappropriation

August

NCO Group  Revenue recognition

Transkaryotic Therapies  Insider trading

ITXC   Foreign Corrupt Practices Act

K-Mart  MD&A

Bristol-Myers  Revenue recognition

Reebok  Insider trading

Citigroup executives  Investment Advisers Act

July

Comerica  Loan loss reserves

Foamex  Internal controls

Duke Energy  Internal controls

June

KPMG Canada  Auditor independence

Mutual savings bank conversion

Bank of America  e-mail retention

Ford's "Money Market Account"

Software exec's fraud

Gen Re exec  over AIG

Huntington Bancshares  Materiality

May

Citigroup  Affiliated transfer agent

National Exchange  Failure to enforce its rules

Salomon executives  Failure to supervise analyst

Hedge funds over short-selling

Insider trading in a "PIPEs" offering

April

Tyson Foods  Disclosure of executive perks

Deloitte  Just for Feet audit

Deloitte  Adelphia audit

Adelphia / Rigas Family

SG Cowen banker PIPEs

KPMG  Xerox audit 

Coca-Cola Company  Channel stuffing

NYSE specialists

NYSE  Failure to supervise

AIG / Hank Greenberg

Easylink  Revenue recognition

March

Flowserve  Reg FD

Putnam Investment  Buying "shelf space"

Citigroup  Mutual fund sales practices

Time Warner  Revenue recognition

Qwest executives  Revenue recognition

Form 12b-25 late filing

NYSE floor clerk

Titan   FCPA - Merger disclosures

February

Banc of America Capital  Market timing

Columbia Funds  Market timing

MarketXT  Trading - Net capital

January

Robert Guccione  Disclosure controls

Morgan Stanley / Goldman Sachs  IPO allocation

ImClone CEO  Insider trading

Aiding and abetting  Royal Ahold

Google  Unregistered offering

Kaplan & Company brokers  Market timing

CBS Marketwatch columnist  Insider trading

Southwest Securities  Market timing

TV Azteca  Related party transactions

December

Walt Disney  Related party transactions

November

AIG  Aiding accounting manipulation

Hollinger - Conrad Black  Related party transactions

Wachoviaia  Merger proxy disclosure

October

Qwest Communications  Revenue recognition

KPMG (Gemstar-TV Guide)  Materiality

Royal Ahold  Promotional allowances

Peregrine Systems  Fraud

September

Hawaiian Airlines  Tender offer disclosures

General Electric  Related party transactions

Computer Associates  Revenue recognition

Medimmune executive  Insider trading

Fleming Companies  Revenue recognition

Deutsche Bank / Thomas Weisel  Analyst conflictsicts

Royal Dutch / Shell  Oil & Gas accounting

Grant Thornton  MCA Financial audit

Bristol-Myers Squibb  Revenue recognition

Halliburton  Undisclosed accounting changes

July

Kenneth Lay  Insider trading

June

FleetBoston employee  Insider trading

Gemstar-TV Guide  Revenue recognition

i2 Technologies  Revenue recognition

Warnaco  Internal controls

SEC Enforcement