Month: October 2011
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...
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...
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...
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...
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...