George S. Canellos

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  Ex-KPMG Partner Accused of Trading Insider Tips for ‘Bags of Cash and a Rolex’

  By Melanie Waddell, AdvisorOne  |  April 12, 2013

  The SEC on Thursday charged the former partner in charge of KPMG’s Pacific Southwest audit practice and his friend with insider trading.

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  Diamondback Capital Agrees to Settle SEC Charges

  By Marlene Y. Satter, AdvisorOne  |  January 23, 2012

  The Securities and Exchange Commission announced Monday that Diamondback Capital Management has agreed to settle charges of insider trading for more than $9 million.

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  SEC Charges Madoff Employee With Falsifying Documents

  By Marlene Y. Satter, AdvisorOne  |  December 20, 2011

  Enrica Cotellessa-Pitz, a more-than-30-year employee of Bernard Madoff Investment Securities, was charged Monday by the SEC of falsifying internal accounting records at the firm to hide the fact that client money had been transferred to operating accounts to hide trading losses.

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  UBS Pays $8M Fine to Settle SEC’s Short-Sale Case

  By Janet Levaux, AdvisorOne  |  November 11, 2011

  The SEC charged UBS Securities Thursday with faulty record-keeping practices related to short sales, and UBS agreed to pay an $8 million penalty to settle the enforcement action.