October, 2011
Archive

October 31, 2011

Judge Questions Citigroup CDO Settlement Deal

We recently blogged about a proposed deal between Citigroup and the SEC to resolve

Read article

October 27, 2011

Securities Fraud Investigation into Questar’s Sales Practices related to IPDS...

The White Law Group has begun a securities fraud investigation into the sales

Read article

October 26, 2011

Securities Regulators Reach Settlement with E*TRADE over Auction Rate Securities

According the nasaa.org, The North American Securities Administrators Association

Read article

October 26, 2011

Investigation into the Potential to Recover Thinkorswim Losses Continues

In August TD Ameritrade took the final steps to integrate the accounts from the

Read article

October 26, 2011

UBS Fined $12 million by FINRA for Regulation SHO violations...

The Financial Industry Regulatory Authority (FINRA) recently said in a release that

Read article

October 26, 2011

SEC Urges Investors to be Wary of Investment Seminars

The SEC recently issued an investor alert in order “to warn investors of potential

Read article