Our experts frequently write blog posts about the findings of the research we are conducting.
The Small Price of Big Favors
Massachusetts Securities Regulators Fine RBC for Selling Unsuitable Leveraged and Inverse ETFs
FINRA Issues Sanctions on Sellers of Leveraged and Inverse ETFs
SEC Sends Letter to Issuers of Structured Notes
SPIVA Scorecard Year-End 2011
Oppenheimer Ordered to Repurchase $5.98 Million in Auction Rate Securities
SEC Press Release: Structured Products
"issued a report identifying common weaknesses seen in sales of structured securities products and describing measures by broker-dealers to better protect retail investors from fraud and abusive sales practices."
SEC Press Release: New Short Form Criteria
Dishonest Sales of LEFTs by RBC Capital Markets
SEC Press Release: Fraudulent Bidding Practices
"charged J.P. Morgan Securities LLC (JPMS) with fraudulently rigging at least 93 municipal bond reinvestment transactions in 31 states, generating millions of dollars in ill-gotten gains."