Our experts frequently write blog posts about the findings of the research we are conducting.
Securities Class Action Filings Decrease in 2012
Oppenheimer to Pay US Airways $30 Million over Auction Rate Securities
Structured Product Issuers Under Pressure to Disclose Estimated Value
Elaborating on the [SEC's] sweep letter, the Staff noted that issuers must disclose the "issuer estimated value" on the cover page of the offering document, and share this information with investors prior to the time of sale. This estimated value...
SEC Charges Morgan Keegan Directors with Failing to Oversee Asset Valuations
SEC Investor Bulletin on ETFs
Overreliance on Credit Ratings Results in Large Losses for Municipalities
SEC Sends Letter to Issuers of Structured Notes
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: 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...