Blog

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

Displaying 11-15 out of 15 results for "Interest Rate Swaps".

Investors Lose Over $7 Billion in SandRidge Energy Stock and Notes

(May 2016)

In recent months, investors have lost billions of dollars as a result of their investments in SandRidge Energy, Inc. stock, notes and bonds. Sandridge is involved in the exploration and production of oil and natural gas in the continental United States with some interests in the Gulf of Mexico.

SandRidge's stock price has lost 99% of its value since 2014, erasing more than $4 billion of market capitalization. In addition to near complete losses to SandRidge stockholders, investors have lost...

Have 1.3% or 7.3% of Stock Brokers Engaged in Misconduct?

(May 2016)

In our recent working paper How Widespread and Predictable is Stock Broker Misconduct? we reconcile estimates of misconduct, demonstrate that broker misconduct is predictable and explain that ostensibly publicly available BrokerCheck data could be used to help investors avoid bad brokers and bad brokerage firms if only it were made truly public instead of only speciously so.

Jason Zweig's recent column in the Wall Street Journal Is Your Broker Good or Bad? discussed our research problem. In...

Enforcement Actions: Week in Review - April 8th, 2016

(Apr 2016)

SEC ENFORCEMENT ACTIONS

SEC Charges Four in Fraudulent "Free Dinner" Scheme
April 4, 2016 (Litigation Release No. 63)
Joseph Andrew Paul, John D. Ellis, Jr., James S. Quay and Donald H. Ellison were charged for embezzling money from victims by soliciting a "free dinner" scheme, splitting the victims' money amongst themselves instead of on investments they proclaimed had high returns. Quay has previous convictions of fraud, and both Quay and Ellison have questionable registrations as...

Enforcement Actions: Week in Review - April 1st, 2016

(Apr 2016)

SEC ENFORCEMENT ACTIONS

Securities Professional Charged With Defrauding Institutional Investors
March 28, 2016 (Litigation Release No. 58)
The SEC has charged Andrew W.W. Caspersen for embezzling approximately $95 million from two institutions. Caspersen deceived and offered promissory notes issued by Irving Place II SPV LLC, a name deceptively similar to a legitimate private equity fund Irving Place Capital Partners III SPV that is in no way associated with Caspersen. The U.S. Attorney's...

Enforcement Actions: Week in Review - March 18th, 2016

(Mar 2016)

SEC ENFORCEMENT ACTIONS

SEC Approves 2016 PCAOB Budget and Accounting Support Fee
March 14, 2016 (Litigation Release No. 51)
The SEC approved the Public Company Accounting Oversight Board (PCAOB) annual budget and accounting support fee for 2016 which is a task that SEC is required to do annually according to the Sarbanes-Oxley Act. The Sarbanes-Oxley Act of 2002 was established in efforts of the SEC to oversee and approve the PCAOB's accounting support fee and budget which funds its...

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