Our experts frequently write blog posts about the findings of the research we are conducting.
In the News: UBS & Morgan Stanley Subpoenaed over Reverse Convertibles
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: Reverse Mergers
FINRA Press Release: Subprime Securitizations
"it has fined Credit Suisse Securities (USA) LLC $4.5 million, and Merrill Lynch $3 million for misrepresenting delinquency data and inadequate supervision in connection with the issuance of residential subprime mortgage securitizations...
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...
SLCG Research: Modeling Autocallable Structured Products
FINRA Press Release: Improper Marketing
"it has ordered Charles Schwab & Company, Inc., to pay $18 million into a Fair Fund to be established by the Securities and Exchange Commission (SEC) to repay investors in YieldPlus, an ultra short-term bond fund managed by Schwab's affiliate, Charles Schwab Investment Management. The $18...
FINRA Investor Alert: Reverse Mortgages
FINRA Press Release: Reverse Convertibles
In the News: SEC Reviewing Sales of Structured Products