Our experts frequently write blog posts about the findings of the research we are conducting.
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: Fraudulent Bidding Practices
"charged UBS Financial Services Inc. (UBS) with fraudulently rigging at least 100 municipal bond reinvestment transactions in 36 states and generating millions of dollars in ill-gotten gains. To settle the SEC's charges, UBS has agreed to pay $47.2 million that will be returned to the...
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."
SLCG Research: Futures-Based Commodity ETFs