Our experts frequently write blog posts about the findings of the research we are conducting.
SEC Litigation Releases: Week in Review - October 5th, 2012
Poor Incentives and Predatory Lending in Municipal Finance
SEC Litigation Releases: Week in Review - May 4th, 2012
SEC Litigation Releases: Week in Review (Part II) - March 16th, 2012
SEC Press Release: Mortgage Backed Securities
"Wells Fargo Securities LLC [had] agreed to settle charges that Wachovia Capital Markets LLC engaged in misconduct in the sale of two collateralized debt obligations (CDOs) tied to the performance of residential mortgage-backed securities as the U.S. housing market was beginning to show signs of distress...
SEC Press Release: Municipal Bond Fund
"charged two former portfolio managers with defrauding a mutual fund that invests primarily in municipal bonds issued by the State of Utah and its county and local authorities."
FINRA Press Release: Excessive Mark-Ups
"it has expelled APS Financial Corporation, located in Austin, Texas, barred the firm's former President, George Conwill, and barred Peter Aman, a former broker at the firm, in a scheme which overcharged an elderly investor by $1.2 million."
SLCG Research: Leveraged Municipal Bond Arbitrage
FINRA Regulatory Notice: Municipal Securities
FINRA Investor Alert: Municipal Bonds