Our experts frequently write blog posts about the findings of the research we are conducting.
SEC Press Release: Auction Rate Securities
"charged Raymond James & Associates Inc. and Raymond James Financial Services Inc. for making inaccurate statements when selling auction rate securities (ARS) to customers."
SEC Press Release: Morgan Keegan fined in connection with CDOs
"Morgan Keegan & Company and Morgan Asset Management have agreed to pay $200 million to settle fraud charges related to subprime mortgage-backed securities. Two Morgan Keegan employees also agreed to pay penalties for their alleged misconduct, including one who is now barred from the...
SEC Press Release: Efficacy of Registration Statements
"it has instituted proceedings to determine whether stop orders should be issued suspending the effectiveness of registration statements filed by two companies - China Intelligent Lighting and Electronics Inc. (CIL) and China Century Dragon Media Inc. (CDM)."
SEC Press Release: Defrauding New York Investors Investors
"charged a Monticello, N.Y.-based investment adviser with fraudulently offering and selling securities in two upstate New York real estate funds he managed."
SEC Press Release: Reverse Mergers
SEC Press Release: Microcap Stock Fraud
"suspended trading in 17 microcap stocks because of questions about the adequacy and accuracy of publicly available information about the companies, which trade in the over-the-counter (OTC) market."
SLCG Study on Competitiveness of Canadian Market for Securities
FINRA Press Release: Collateralized Mortgage Obligations
"it has fined Northern Trust Securities $600,000 for deficiencies in supervising sales of collateralized mortgage obligations (CMOs) and failure to have adequate systems in place to monitor certain high-volume securities...
In the News: Auction Rate Securities Purchased by US Airways
Joint SEC and FINRA Press Release: Structured Products