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
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...
FINRA Press Release: Collateralized Mortgage Obligations
"it has fined Northern Trust Securities $600,000 for deficiencies in supervising sales of collateralized mortgage obligations (CMOs) and failure to have adequate systems in place to monitor certain high-volume securities...
Joint SEC and FINRA Press Release: Structured Products
FINRA Press Release: Non-Traded REITs
"filed a complaint against David Lerner & Associates, Inc. (DLA), of Syosset, NY, charging the firm with soliciting investors to purchase shares in Apple REIT Ten, a non-traded $2 billion Real Estate Investment Trust (REIT), without conducting a reasonable investigation to determine whether...
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: Assigned Credit Ratings
for public comment on the feasibility of a system in which a public or private utility or a self-regulatory organization would assign a nationally recognized statistical rating organization (NRSRO) to determine credit ratings for structured finance products.