Securities Lawyer Blog: Archives

Archives

2010.07.30: Goldman and the $550 Million SEC Settlement
2010.07.23: Suitability Issue -- SunTrust Settles $1.44 Million
2010.07.15: More Info, Longer Shelf Life, As SEC Gives BrokerCheck® Go-Ahead for Expanded Public Records
2010.07.06: Done Deal -- Former Deutsche Bank Broker Permanently Barred
2010.06.30: NEWS UPDATE: FINRA TAKES OVER SURVEILLANCE AND ENFORCEMENT
2010.06.25: SEC Files Fraud Action Related to Housing Woes
2010.06.18: Laid to Rest -- $1.5 Million FINRA Sanction Closes Citigroup Cemetery Trust Fund Supervisorial Mess
2010.06.04: Class Dismissed -- Claims Against Ratings Agencies Ousted by Judge Rakoff
2010.05.27: Back-Office Personnel Targeted for Registration and Education
2010.05.18: SHO Down -- Nearly $1 Million in Fines for Regulation SHO Violations
2010.05.12: Hands Off Doesn't Pay -- $400,000 for Westpark Capital to Customers and FINRA Fines
2010.05.06: In the News: Arbitration and Enforcement Updates from FINRA
2010.04.30: The Big Freeze Still Thawing as ARS Settlements Continue
2010.04.22: FINRA Issues New Notice -- $609 Billion in Private Placements Compels Guidance
2010.04.13: Sometimes It's Not Good to Be First -- Citigroup Fined $650,000
2010.04.05: Not Another Fine Day for Scottrade -- $200,000 for Securities and Banking Issues.
2010.03.29: Inadvertent List Hits in DOJ Antitrust Action
2010.03.21: Expulsion for Provident Asset After $480 Million Raised for Private Placement
2010.03.13: Mistrial at Retrial? Government Woes May Continue in Backdating Prosecution
2010.03.08: Court Orders Former Kmart CEO to Pay $10 Million
2010.03.01: More Guilty Please? $1.9 Million Illicit Profits for Madoff's Chief Back Room Operator
2010.02.22: Talking Points Or Taking Points? Privilege Waiver on the Line.
2010.02.14: SEC Backs Off Broadcom Backdating Case -- $118 Million Later
2010.02.08: Merry or Merrill-y Go Round? SEC and BofA Settle, Again.
2010.01.29: What A Tangled Web They Weave -- Over $1 Billion in Losses
2010.01.22: $1.5 Million for Investor Literacy -- FINRA Foundation and the American Library Association Team Up
2010.01.15: "Extraordinary" -- Claims SEC In New Suit Against BofA in Merrill Deal
2010.01.08: SEC secures $8.6 Million Return After Insider Trading Settlement
2009.12.31: When Green Is Not Renewable - FINRA's Investor Alert on Green Scams
2009.12.22: SEC's Price for Inter-Broker's Bad Behavior? How About $25 Million.
2009.12.18: Court Issues Big Holiday "Bonus" for Broadcom's Former Execs
2009.12.11: Tech Wreck -- $1.2 Million Fine For MetLife Securities
2009.12.02: US Supreme Court to Hear Transnational Securities Case
2009.11.20: Auction-Rate "InSecurities" -- Wells Fargo's $1.4 Billion Buy Back
2009.11.13: SEC's First Enforcement Using Regulation G Targets SafeNet - Over $1 Million in Fines
2009.11.06: Publicity Stunted -- SEC Shuts Down Broker's Fake PR Blast
2009.10.29: Learning the Hard Way -- Inadequate Anti-Money Laundering Program Costs Scottrade $600,000
2009.10.21: Seriously Taxing -- Citigroup Fined $600,000 in Failure to Supervise
2009.10.19: A New Twist on Privilege Review - How About That Bank of America Waiver?
2009.09.25: Perot No-No -- $8.6 million Insider Trading Allegations Against Employee
2009.09.17: When No Deal is a Big Deal. Judge Rakoff Rejects the BofA / SEC Settlement.
2009.09.11: Thawing To Liquidity -- $128 Million in Auction Rate Securities Holdings Repurchased
2009.09.04: $118 Million Settlement in Broadcom's Stock Option Backdating Claims
2009.08.28: Quick Steps -- FINRA Streamlines Dispute Resolution on Promissory Notes
2009.08.21: School Daze - Ameritas Investment Corp. fined $100,000 & Broker Suspended in College Fund Planning Scheme
2009.08.14: SEC Files Fraud Suit in $197 Million Real Estate Mortgage Scheme -- Radical Bunny, LLC Principals in a Heap of Trouble
2009.08.12: Bank of America Settlement with SEC for $33 Million in Merrill Lynch Bonus Bungle Not a Done Deal
2009.07.30: Merrill Lynch, UBS slapped for unsuitable sales of closed-end funds -- a $5 million pay-out to customers and fines for supervisory failures.

Monthly Archives

Categories

Category Monthly Archives

Author Monthly Archives

Recent Entries

Jul 30, 10 12:43 PM Goldman and the $550 Million SEC Settlement It's worth noting so we will. The Securities Lawyer Blog cannot end this month's...

Jul 23, 10 07:56 AM Suitability Issue -- SunTrust Settles $1.44 Million Another settlement was announced this week from the Financial Industry Regulatory Authority (FINRA) and...

Jul 15, 10 08:15 AM More Info, Longer Shelf Life, As SEC Gives BrokerCheck® Go-Ahead for Expanded Public Records The Open Book The old saying "play by the rules," takes on new meaning...

Jul 6, 10 01:15 PM Done Deal -- Former Deutsche Bank Broker Permanently Barred The Securities Lawyer Blog has posted previously on brokers who have paid the ultimate...

Jun 30, 10 10:56 AM NEWS UPDATE: FINRA TAKES OVER SURVEILLANCE AND ENFORCEMENT Recently, the Securities Lawyer Blog posted that the Financial Industry Regulatory Authority (FINRA) was...

Jun 25, 10 12:26 PM SEC Files Fraud Action Related to Housing Woes The mortgage crisis? It's not over and the SEC just reminded us of that. Earlier...

Monthly Archives