Kentucky Securities News Headlines

Former Morgan Stanley Financial Analyst Arrested For Insider Trading

MBC Managers Sentenced To Five Years For Role In $826 Million Securities Fraud

Three Defendants Sentenced For Conspiracy To Commit Securities And Email Fraud

Seven Members Of Organized Crime FamiliesPlead Guilty To Racketeering And Extortion

Former Currency Trader Sentenced To 5 More Years For $3 Billion Ponzi Scheme

SEC Institutes Enforcement Action Alleging Pump-and-Dump Scheme

Federal Authorities Seeking Fugitive

SEC Charges Tenet Healthcare Corporation With Concealing Scheme To Meet Earnings Targets

SEC and U.S. Attorney Charge Three Offshore Hackers Manipulating Market

SEC Charges Cyberkey for Promoting Stock Offering with Phony Homeland Security Deal

Ponzi Endures With Lure Of Riches

SEC Charges 14 In Wall Street Insider Trading Ring

SEC Charges Family With $3.7 Million Insider Trading Scheme

SEC Charges Former General Counsel For Backdating Scheme

Distributions Begin To Victims Of Improper Trading At NYSE Specialist Firms

Jury Finds Former PIMCO Equity Funds Chairman Defrauded Investors

SEC Charges McAfee, Inc. with Accounting Fraud

Columbia Stock Broker Pleads Guilty to Stealing $125,000 From Medicaid

Stock Broker Sentenced In Fraud Scheme

Panel on Enron and Developments in Business Ethics Set for Denver

Statement of the Securities and Exchange Commission Concerning Financial Penalties

Pump & Dump.con: Tips for Avoiding Stock Scams on the Internet

Federal Bank Propose Guidance On Commercial Real Estate Lending Companies

SEC Charges Google And Its General Counsel David C. Drummond With Failure To Register

Files Securities Fraud Charges Against Computer

Settlement Reached With Two Specialist Firms

NSP Holdings L.L.C. Announces Commencement of Consent Solicitation

Halliburton's Settlement with the SEC Includes a $7.5 Million Penalty Reflecting Lapses in Conduct During the Course of the Investigation

SEC Requires Exchange Listing Standards for Audit Committees

U.S. Charges Ex-Worldcom Ceo Bernard Ebbers; Former Worldcom Cfo Scott Sullivan Pleads Guilty

Executives And Auditor Of Peregrine Systems, Inc. Indicted On Securities Fraud Charges Former Director Of Alliances Pleads Guilty

Deutsche Bank Securities and Thomas Weisel Partners Settle with Securities Regulators District of Columbia to Receive Over $300,000

DISR and NASAA Announce Top 10 Investment Scams for 2004

Departments of Insurance and Banking Combine to Become DISB

Rokita Applauds Passage of Securities Legislation

Vermont to Receive $3.875 Million in Global Securities Settlement

SEC and NYSE File Settled Action Charging Fidelity Brokerage Services for Violating Federal Securities Laws and NYSE Rules in Connection with Document Alteration and Destruction

SEC Charges Former Top Executives of U.S. Foodservice with $700 Million Securities Fraud; One Executive Also Charged with Insider Trading

Lucent Settles SEC Enforcement Action Charging the Company with $1.1 Billion Accounting Fraud

SEC Charges Scott D. Sullivan, WorldCom’s Former Chief Financial Officer, with Engaging in Multi-Billion Dollar Financial Fraud

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	Did You Know?
	Swap: In general, the exchange of one asset or liability for a similar asset or liability Swap: In general, the exchange of one asset or liability for a similar asset or liability for the purpose of lengthening or shortening maturities, or raising or lowering coupon rates, to maximize revenue or minimize financing costs. This may entail selling one securities issue and buying another in foreign currency; it may entail buying a currency on the spot market and simultaneously selling it forward. Swaps also may involve exchanging income flows; for example, exchanging the fixed rate coupon stream of a bond for a variable rate payment stream, or vice versa, while not swapping the principal component of the bond. Swaps are generally traded over-the-counter.