Month: November 2009

The Commission brought two more actions in a series of civil and criminal cases arising out of the payments made by a brokerage firm to obtain municipal bond underwriting and interest rate swap agreement business in Jefferson County, Alabama. The …

ARE MONITARY PAYMENTS SUFFICIENT TO PREVENT A REPETITION? Read More »

David Friehling, auditor through his CPA firm of Bernard L. Madoff Investment Securities LLC and its predecessor, pleaded guilty to a nine-count criminal information and agreed to certain forfeitures. Mr. Friehling also entered into a cooperation agreement with the government. …

MADOFF ACCOUNTANT PLEADS GUILTY, IS RELEASED ON BAIL Read More »