Our experts frequently write blog posts about the findings of the research we are conducting.
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: Forex Ponzi Scheme
"filed fraud charges Thursday against the CEO of a purported foreign currency trading firm, alleging he scammed hundreds of investors with false promises of high, fixed-rate returns while secretly using their money to fund his start-up alternative newspaper."
SEC Press Release: State of Municipal Securities Market
"it will hold a municipal securities market field hearing in Jefferson County, Ala., on July 29. Topics will include distressed communities, small issuers, disclosure, derivatives and pre-trade price transparency."