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On January 9, 2006, the SEC “announced that Daniel Calugar and his former registered broker-dealer, Security Brokerage, Inc. (SBI), agreed to settle the SEC’s charges alleging that they defrauded mutual fund investors through improper late trading and market timing. As part of the settlement, Calugar will disgorge $103 million in ill-gotten ...
Gil Blake. Gil Blake is a speculator investor and fund manager who devised an investment strategy known as mutual fund market timing. This method of investing is based on the historic pricing patterns of mutual funds. [1]
Gary Pilgrim (born November 5, 1940 in Nowata, Oklahoma) is a retired investment manager and a founding partner of Pilgrim, Baxter, Hoyt & Greig, later known as Pilgrim Baxter & Associates. He is best known for his management of the PBHG Growth Fund, one of the most popular growth-style mutual funds of the mid- to late-1990s, [according to whom ...
That same year, the Securities and Exchange Commission alleged that MFS made "false and misleading" statements in its fund prospectus about its policy on market trading and market timing. This was part of a wide-ranging investigation; see 2003 mutual fund scandal for additional details. MFS paid $350 million to settle state and federal fraud ...
The 2003 mutual fund scandal involved unequal treatment of fund shareholders whereby some fund management companies allowed favored investors to engage in prohibited late trading or market timing. The scandal was uncovered by former New York Attorney General Eliot Spitzer and led to an increase in regulation.
Merrill Lynch & Co., formally Merrill Lynch, Pierce, Fenner & Smith Incorporated, was a publicly-traded American investment bank that existed independently from 1914 until January 2009 before being acquired by Bank of America and rolled into BofA Securities. The firm engaged in prime brokerage and broker-dealer activities and was headquartered ...
While at Capital Group, Haaga served as chairman of the board of governors of the Investment Company Institute, the trade association for the mutual fund industry. [2] He is credited with helping to restore the industry's reputation after the market timing scandal of 2003.
27 February 1995. (1995-02-27) (aged 67) London, UK. Other names. Bernie. Occupation (s) Financier, businessman. Bernard " Bernie " Cornfeld (17 August 1927 – 27 February 1995) was a prominent businessman and international financier who sold investments in US mutual funds, and who was tried and acquitted for mismanagement of the Investors ...
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