Eliot Spitzer

• Fly Right

  By Marlene Y. Satter, AdvisorOne  |  June 1, 2004

  With changes afoot on everything from e-mail archiving to breakpoints to money laundering and the Patriot Act, independent broker/dealers have to be nimble. Into the...

• The IA 25

  By Staff Writer  |  May 1, 2004

  Who are the people who will most affect the way you practice your profession in the years ahead? We humbly submit the 2004 IA 25,...

• Defining Your Role

  By Staff Writer  |  April 1, 2004

  As an advisor trying to build a successful practice, you have a limited amount of time each day to accomplish a seemingly unlimited number of...

• Where the Buck Stops: B of A Says It Will Seek Compensation from Other Funds

  By Staff Writer  |  March 24, 2004

  CHARLOTTE, N.C. (HedgeWorld.com)--Bank of America Corp. officials said they will seek reimbursement from hedge funds and other investors that used the bank's trading systems to...

• The E&O Crisis

  By Marlene Y. Satter, AdvisorOne  |  March 1, 2004

  The market may be up, but there are challenges aplenty facing advisors in the current regulatory climate. The Securities & Exchange Commission, National Association of...

• Spitzer, SEC Set Sights on FleetBoston's Columbia

  By Staff Writer  |  March 1, 2004

  BOSTON (HedgeWorld.com)--New York Attorney General Eliot Spitzer and the Securities and Exchange Commission on Tuesday filed separate civil complaints against FleetBoston Financial Corp. subsidiaries Columbia...

• Competitive Regulators Might Scapegoat Hedge Fund Industry

  By Staff Writer  |  February 23, 2004

  NEW YORK (HedgeWorld.com)--Goaded by the aggressive investigations of New York State Attorney General Eliot Spitzer, the Securities and Exchange Commission could be looking to increase...

• Investigation: CIBC Too Close to Chronos?

  By Staff Writer  |  January 19, 2004

  TORONTO (HedgeWorld.com)--Both New York State Attorney General Eliot Spitzer and the U.S. Securities and Exchange Commission are investigating Canadian Imperial Bank of Commerce, among other...

• Some Mutual Funds Cut Their Fees

  By Staff Writer  |  January 7, 2004

  An excerpt from the Jan. 6, 2004, edition of The Wall Street Journal

• Alliance Agrees to Settlement to Cut Fees

  By Staff Writer  |  December 22, 2003

  Dec. 18, 2003 -- Alliance Cap Mgmt Holding L.P. (AC) said it would cut mutual fund management fees as part of a settlement with federal...