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Month: October 2011

Blog, Securities Fraud Articles

Judge Questions Citigroup CDO Settlement Deal

We recently blogged about a proposed deal between Citigroup and the SEC to resolve fraud charges related to collateralized debt...

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Blog, Securities Fraud Articles

Securities Fraud Investigation into Questar’s Sales Practices related to IPDS and Desert Capital REIT

The White Law Group has begun a securities fraud investigation into the sales practices of Questar Capital related to the sale of the...

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Blog, Securities Fraud Articles

Securities Settle with E*TRADE over Auction Rate Securities

According the nasaa.org, The North American Securities Administrators Association (NASAA) announced recently “that a settlement in...

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Blog, Securities Fraud Articles

Thinkorswim Investigation Continues

In August TD Ameritrade took the final steps to integrate the accounts from the acquired Thinkorswim into their trading network. When what...

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Blog, Securities Fraud Articles

UBS Fined $12 million by FINRA for Regulation SHO violations

The Financial Industry Regulatory Authority (FINRA) recently said in a release that “it has fined UBS Securities LLC $12 million for...

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Blog, Securities Fraud Articles

SEC Urges Investors to be Wary of Investment Seminars

The SEC recently issued an investor alert in order “to warn investors of potential fraud they may encounter at investment seminars that...

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