Our experts frequently write blog posts about the findings of the research we are conducting.
SEC Press Release: Municipal Bond Fund
"charged two former portfolio managers with defrauding a mutual fund that invests primarily in municipal bonds issued by the State of Utah and its county and local authorities."
SEC Press Release: Banc of America Bid Rigging
"BAS has agreed to pay over $36 million, together with...
FINRA Press Release: Auction Rate Securities
"it has fined Nuveen Investments, LLC, of Chicago, $3 million for creating misleading marketing materials used in sales of auction rate preferred securities (ARPS). The Nuveen Funds' ARPS were a form of auction rate securities, which are long-term securities with interest rates or...
FINRA Press Release: HSBC Securities
"it has settled charges with two additional firms relating to the sale of auction rate securities (ARS) that became illiquid when auctions froze in February 2008 - HSBC Securities (USA) and US Bancorp Investments, Inc."
FINRA Press Release: Morgan Keegan
"it has filed a complaint against Morgan Keegan & Company, Inc., charging the firm with marketing and selling seven affiliated bond funds to investors using false and misleading sales materials - costing investors well over $1 billion. In addition...