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Our experts frequently write blog posts about the findings of the research we are conducting.

Displaying 71-80 out of 105 results for "Structured CDs Week".

Bill Luby on VIX-Related Exchange-Traded Products

(Apr 2012)

Bill Luby, who writes at the VIX and More blog and Expiring Monthly: The Options Traders Journal, is one of the most respected voices on all things related to the CBOE S&P 500 Volatility Index, also known as the VIX. We highly recommend anyone interested in the VIX and volatility-related derivates check out his blog, which has a variety of useful analysis and commentary.

Recently there has been a lot of coverage related to TVIX and otherexchange-traded products linked to the VIX. Here at...

SEC Litigation Releases: Week in Review - April 20th, 2012

(Apr 2012)

SEC Announces Settlement of Accounting Fraud Charges Against Former CSK Auto Corporation Management
April 18, 2012, (Litigation Release No. 22338)
The US District Court in Phoenix entered a final judgment against three former CSK Auto Corporation employees: Don W. Watson (former CFO, Treasurer and Senior VP), Edward W. O'Brien (former controller) and Gary M. Opper (former director of credit and receivables). The judgment is a result of the SEC allegations in which the officers overstated CSK's...

SEC Sends Letter to Issuers of Structured Notes

(Apr 2012)

Recently the SEC sent out a letter to certain financial institutions regarding their offerings of structured notes. The letter was sent by Amy M. Starr, the Chief of the Office of Capital Markets Trends, Division of Corporation Finance. In the letter the SEC urges the structured note issuers to disclose key information with regard to the offerings, such as product pricing and use of issuing proceeds.

The SEC highlighted a number of potentially confusing aspects of structured notes and their...

SEC Litigation Releases: Week in Review (Part II) - April 13th, 2012

(Apr 2012)

Due to the high volume of SEC litigation releases over the previous week, we are summarizing the releases in two parts. This is the second of the two parts.

SEC Charges Ephren J. Taylor, II with Operating a Ponzi Scheme
April 13, 2012, (Litigation Release No. 22330)
The SEC charged Ephren J. Taylor, II, City Capital Corporation and Wendy Connor (Former COO of City Capital) for their roles in a Ponzi scheme that targeted investors in church congregations. The SEC alleges that "Taylor assured...

SEC Litigation Releases: Week in Review (Part I) - April 13th, 2012

(Apr 2012)

Due to the high volume of SEC litigation releases over the previous week, we are summarizing the releases in two parts. This is the first of the two parts.

Fromer Syntax-Brillian Corp. CEO Ordered to Pay More than $11 Million for Insider Trading and Financial Fraud
April 9, 2012, (Litigation Release No. 22324)
The US District Court for the District of Arizona entered a final judgment against James Li -- former CEO and Director of Syntax-Brillian Corp. -- ordering him to pay over $2 million in...

SEC Litigation Releases: Week in Review - April 6th, 2012

(Apr 2012)

Court Holds Defendant in Contempt in SEC Action Involving Rhode Island-Based Offering Fraud,
April 5, 2012, (Litigation Release No. 22317)
In October 2010, the SEC filed a civil injunctive action against David Stern alleging that he misrepresented several key characteristics of his company -- Online Registries, Inc. -- in order to raise investor funds. The SEC also alleged that Stern then misappropriated these funds. The court entered an Order for Other Equitable Relief in March 2011. Last...

SEC Litigation Releases: Week in Review - March 30th, 2012

(Mar 2012)

SEC Obtains Preliminary Injunction in New York Investment Adviser Case
March 28, 2012, (Litigation Release No. 22311)
The US District Court for the Eastern District of New York issued a preliminary injunction against Brian Raymond Callahan and his advisory firms Horizon Global Advisors, Ltd. and Horizon Global Advisors, LLC. This preliminary injunction stems from the charges filed by the SEC alleging Callahan "defrauded investors in five offshore funds and used some of their money to buy...

Regulating the Derivatives Markets

(Mar 2012)

The New York Times had an excellent editorial last week titled "A Long Road to Regulating Derivatives," which discusses the progress made in regulating the types of complex securities which have been implicated in the recent financial crisis. We at SLCG feel that investors should pay close attention to the changes taking place in securities regulation as they could have a significant impact on the entire market.

Traditionally, derivatives were regulated relatively lightly, especially...

SEC Litigation Releases: Week in Review (Part II) - March 23rd, 2012

(Mar 2012)

Due to the high volume of litigation releases from the Securities and Exchange Commission over the past week, we're spreading this week's review over two posts. This is the second of the two posts.

SEC Settles Litigation with Former Veritas Software Corporation Head of Sales
March 22, 2012, (Litigation Release No. 22304)
The US District Court for the Northern District of California entered a settled final judgment against Paul A. Sallaberry -- former head of sales of Veritas Software...

SEC Litigation Releases: Week in Review (Part I) - March 23rd, 2012

(Mar 2012)

Due to the high volume of litigation releases from the Securities and Exchange Commission over the past week, we're spreading this week's review over two posts. This is the first of the two posts.

Defendant Michael Kimelman Settles SEC Insider Trading Charges
March 20, 2012, (Litigation Release No. 22299)
Michael Kimelman -- formerly a trader a Lighthouse Financial Group, LLC -- received material nonpublic information from an attorney concerning the acquisition of 3Com Corp. and allegedly...

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