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

Displaying 71-73 out of 73 results for "Muni Arb".

FINRA Dispute Resolution Statistics 2012

(Jan 2013)

Last week, we covered NERA's analysis of SEC settlements during FY2012. This week, we're taking a look at FINRA's recent release of their dispute resolution summary statistics. FINRA arbitration is a common way for investors to pursue restitution for damage caused by fraud, negligence, or other fiduciary breaches. FINRA provides a detailed summary of the arbitration process and claims can be filed either online or by mail.

Through December of this year, FINRA reports that the number of new...

SEC Litigation Releases: Week in Review - January 18th, 2013

(Jan 2013)

SEC Charges Georgia Resident with Insider Trading
January 17, 2013, (Litigation Release No. 22596)
According to the complaint (opens to PDF), John M. Darden III traded with non-public information regarding the merger between Southwest Airlines Company and AirTran Holdings, Inc. Darden, who gained over $150,000 in profits from the illicit trading, agreed to a final judgment that provides permanent injunctive relief and orders him to pay over $325,000 in disgorgement, pre-judgment interest, and...

SEC Litigation Releases: Week in Review - January 11th, 2013

(Jan 2013)

Court Orders New York-Based Hedge Fund Manager and Firm to Pay Nearly $5 Million in Disgorgement and Penalties
January 9, 2013, (Litigation Release No. 22588)
Final judgments were entered against hedge fund manager Chetan Kapur and his firm ThinkStrategy Capital Management for allegedly overstating the performance of their ThinkStrategy Capital Fund, "inflat[ing] the firm's assets, exaggerat[ing] the firm's longevity and performance history, and misrepresent[ing] the size and credentials of...

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