News

SLCG in the News

SLCG's research and testimony frequently results in press coverage and awards, decisions or orders.


03-2017The Wall Street Journal, March 22, 2017 - "What You Won't Learn From One Wall Street Watchdog Report"
01-2017Market Watch, January 19, 2017, "Opinion: Borrowing its way out of trouble, Puerto Rico sinks"
01-2017Kiplinger, January 1, 2017, "Beware Pitches for High-Yielding CDs"
12-2016Bloomberg|Quint, December 9, 2016, "Deutsche Bank May Have Rigged Index in Paschi Deal, Audit Shows"
07-2016Financial Times, July 29, 2016, "Fears grow over Wall St's appetite for securities-based lending"
06-2016AdvisorHub, June 20, 2016 - "Spy Novelist Who Claimed Deception by Morgan Stanley Wins $3.6 Million"
06-2016FinancialPlanning.com June 8, 2016 "Commissions exposed, adviser stops selling nontraded REITs"
04-2016The Wall Street Journal, April 22, 2016 - "Is Your Broker Good or Bad?"
02-2016The Wall Street Journal, February 5, 2016 - "The Oil Rout's Surprise Victims"
09-2015Financial Times, September 3, 2015 - "Market woes prompt regulator to warn on securities-based loans"
08-2015 Neue Zurcher Zeitung (The New Zurich Times), August 23, 2015 - "UBS's Costly Puerto Rican Adventure"
08-2015The Wall Street Journal, August 11, 2015 - "Puerto Rico Investors Win Relief From UBS"
06-2015Reuters June 9, 2015 - "Non-traded REITs cost investors $50 billion: consultant"
04-2015Federal Judge Hands Down 10-Year Sentence To Former Chief Accounting Officer For Beazer Homes USA, Inc.
02-2015Reuters, February 18, 2015 - "Interactive Brokers must pay $667,000 for portfolio selloff mishap -panel"
01-2015Wall Street Journal, January 14, 2015 - Katy Burne and Aaron Kuriloff "Regulators Want Data on Bond-Trade Fees, SEC, Others Scrutinize Markups Paid by
12-2014Chicago Tribune, December 26, 2014 - Heather Gillers "Some have recouped millions from risky type of debt that plagues CPS"
12-2014Bloomberg TV, December 2, 2014 - "The Growth of Non-traded REITs"
10-2014Bloomberg News, October 27, 2014 - "SEC's Cross Says Shine a Light on Tax-Free Market: Muni Credit"
08-2014Bloomberg News, August 5, 2014 - "Muni Regulators May Force Brokers to Disclose Bond Trade Prices"
07-2014Wall Street Journal, July 12, 2014 - "Five Popular-but Dangerous-Investments for Individuals"
06-2014Reuters, June 30, 2014 - "Exclusive: South Carolina jury awards $8.1 million to investor who was misled by BB&T"
06-2014Wall Street Journal, June 16, 2014 - "Nontraded REITs Are Hot, But Have Plenty of Critics"
04-2014NY Post, April 4, 2014 - "Teacher says UBS broker's advice lost her $400,000"
03-2014HuffingtonPost, March 26, 2014 - "'Learning' From Timothy Sykes"
03-2014Bond Buyer, March 25, 2014 - "Problem Puerto Rico Bond Trades Erased, Survey Shows More Troubled Sales"
03-2014MarketWatch, March 4, 2014 - "Puerto Rico's travails hit muni bond firm that bet big"
12-2013Reuters, December 12, 2013 - "COMPLY-U.S. Regulator Intensifies Scrutiny of Fee-Based Accounts"
11-2013Bloomberg News, November 21, 2013 - "Sales of Callable Stock-Tied Notes Soar on Markets as Risks Loom"
08-2013SEC Press Release - August 15, 2013 "Michael Piwowar Sworn in as SEC Commissioner"
08-2013Bloomberg News, August 1, 2013 - "Market-Linked Certificates of Deposit Overpriced, Report Says"
07-2013CNN Money, July 9, 2013 - "Libor moving to NYSE Euronext"
06-2013Bond Buyer, June 11, 2013 - "Study Claims Billions of Dollars of Excessive Muni Markups"
06-2013The Wall Street Journal, June 7, 2013 - "The Intelligent Investor: What's Eating Your Munis?"
06-2013Investment News, June 7, 2013 - "TIC Awards Show Brokers Still Grappling with Real Estate Bubble Fallout"
02-2013Bloomberg News, February 7, 2013 - "Structured Note Rules May Fail to Resolve Confusion Over Pricing"
01-2013The Wall Street Journal, January 26, 2013 - "How Apple Bit Bond Holders, Too"
12-2012The Wall Street Journal, December 28, 2012 - "Bond Funds: The Downside"
12-2012The Wall Street Journal, December 1, 2012 - "The Great Yield Gamble"
10-2012Reuters, October 23, 2012 - Appeals court reinstates Morgan Keegan ruling
07-2012The Wall Street Journal, July 21, 2012 - "New Product Offers Stock-Like Returns With Less Risk"
02-2012Reuters, February 14, 2012 - Wall Street Fights Back Against Expert Witness in Lawsuits
02-2012American Banker, February 10, 2012 - B of A Subpoenaed by Massachusetts Over CLOs
02-2012The New York Times, February 5, 2012 - "A Wipeout That Didn't Have to Happen"
04-2011The Wall Street Journal, April 13, 2011 - "Citigroup Loses Muni Case"
03-2011The Wall Street Journal, March 31, 2011 - "Complex Bond Faces Regulators' Scrutiny"
02-2011The Wall Street Journal, February 5, 2011 - "Preferred Stock: Are Those Juicy Yields Worth the Extra Risk?"
01-2011The Wall Street Journal, January 11, 2011 - "Schwab Pays in YieldPlus Settlement"
11-2010The Wall Street Journal, November 13, 2010 - "Structured Notes: Not as Safe as They Seem"
10-2010The New York Times, October 9, 2010 - "It's Not Nice to Mess With J.R."
09-2010The Wall Street Journal, September 25, 2010 - "How Safe Is Your Bond Fund?"
07-2010The Wall Street Journal, July 27, 2010 - "Crisis-Era Munis Haunt Wall Street"
05-2010New York Times, May 21, 2010 - "'100% Protected' Isn't as Safe as It Sounds"
05-2010Bloomberg, May 17, 2010 - "JPMorgan's 64 Percent Note Shows Risks of Reverse Convertibles"
04-2010Los Angeles Times, April 26, 2010 - "Schwab case shows pain of a bond market's collapse on small investors"
04-2010The Wall Street Journal, April 15, 2010 - "About Those Alleged Short-Term Funds..."
04-2010Investment News, April 7, 2010 - "FINRA, SEC and state regulators swarm Morgan Keegan with fraud charges"
03-2010Reuters, March 29, 2010 - "Complex notes with principal guarantees spring back"
11-2009The Sacramento Bee, Friday, Nov. 13, 2009 - "SMUD sues Wall St. firms over alleged bid rigging"
09-2009Securities Litigation and Consulting Group, Inc. Releases Leveraged Municipal "Arbitrage" Study
05-2009Birmingham Business Journal, May 1, 2009 - "Morgan Keegan suits loom large over Regions Financial"
04-2009Barron's, April 13, 2009 - "Designed to Deceive: Equity Indexed Annuities"
01-2009SLCG Announces Updated Regions Morgan Keegan Bond Fund Study
10-2008The New York Times, October 24, 2008 - Weighing an Investment That Promises No Risk
10-2008SLCG Announces Regions Morgan Keegan Bond Fund Study
09-2008NASAA Submits SLCG's An Economic Analysis of Equity-Indexed Annuities to the SEC
07-2008SIFMA Calls SEC's Proposed Market Data Order "Fatally Flawed"
07-2008The Securities and Exchange Commission Issues Equity-Indexed Annuities Rule Proposal
05-2008Dateline NBC Investigates Equity-Indexed Annuities
05-2008Trust & Estates: Custom Bond Valuations
03-2008Cornell University School of Law
09-200731st Annual Southwestern Securities Enforcement Conference
06-2007Study: Mandatory Arbitration of Securities Disputes
06-2007Press Release: Securities Arbitration Study
05-2007Minimizing Longevity Risk
04-2007Equity-indexed annuities
03-2007Arbitration Is a Tough Climb
03-2007Annuities complaint sends up red flag
02-2007Class action litigation looms...
02-2007Equity-indexed annuities
01-2007Things to look for in '07
12-2006Buying Index Funds Through Brokers...
12-2006Equity-linked structured notes
12-2006Steering Investors to Sure-Fire Lower Returns
12-2006Research on variable annuities...
09-2006Indexed-Annuities: Too Good to be True?
08-20063 Retirement Deals You Can Do Without
06-2006Excessive fund fees
05-2006Homework Key to Avoiding Investor Pitfalls
05-2006Citigroup Ruling May Embolden Affluent Investors
04-2006Annuities With an S&P Return
04-2006Lessons from U.S. Corporate and Municipal...
03-2006Study riles advocates of equity index annuity
02-2006Secondary Transaction Costs
12-2005Broker Haggle Guide
09-2005Spanning the Transparency Divide
07-2005NASDAQ Adds Four More Indexes
05-2005Transparency Could Save Investors $1B
05-2005Lessons from U.S. Corporate Bond Market...
02-2005...Bond Market Transparency Initiatives
02-2005Primuni's First, and So Far Only...
11-2004Fixed Income Markets in Montreal
11-2004Employee Stock Options...
11-2004Survey Finds Hidden Trading Costs
10-2004Bond Markets: Ripe
10-2004Groups Urge More Transparency in Corp. Bond...
09-2004Sting of scandal followed by lower fees...
08-2004Mom and Pop Pay Steep Price To Trade Munis
07-2004Why Brokers Want You to Buy 'B Shares'
07-2004Mind Your Money, and Your Broker
06-2004An Overview of the Regulation of the...
04-2004True Fund Costs Tricky to Figure
04-2004SEC's Agreement with MFS Puts Mutual Funds...
03-2004How much does trading cost?
03-2004Funds' risk changes at disclosure times...
03-2004"Concentrated Stock Dangers"
02-2004Fund Group Pushes New Disclosures
02-2004New Light on Hidden Fees
02-2004Can the Muni Market Be Made Safe for Investors?
02-2004Muni Bonds Can Cost More to Trade than Stocks
02-2004Pricey Municipal Bonds
02-2004Muni Trading Costs High
01-2004Study finds large mutual funds have undisclosed...
01-2004Massachusetts Financial in Talks to Settle...
10-2003Damage Theories Under State Law for Securities...
03-2003Morgan Stanley is sued on 'Break Points'
02-2002How to Make Money in Mutual Funds...
04-1998Choosing the Right Class of Shares Can Add Up..