Our experts frequently write blog posts about the findings of the research we are conducting.
SLCG Research: Average Credit Quality
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
FINRA Investor Alert: Asking the Right Questions
In the News: UBS & Morgan Stanley Subpoenaed over Reverse Convertibles
Dishonest Sales of LEFTs by RBC Capital Markets
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."
SEC Press Release: Fraudulent Bidding Practices
"charged J.P. Morgan Securities LLC (JPMS) with fraudulently rigging at least 93 municipal bond reinvestment transactions in 31 states, generating millions of dollars in ill-gotten gains."
SEC Press Release: Auction Rate Securities
"charged Raymond James & Associates Inc. and Raymond James Financial Services Inc. for making inaccurate statements when selling auction rate securities (ARS) to customers."
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...