auction rate securities investigation
Tag Archive

September 27, 2011

Fidelity Brokerage Services LLC Agrees to Repurchase Illiquid Auction Rate...

According to documents available from, “without admitting or denying the

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July 28, 2011

SunTrust fined over auction rate securities

The Financial Industry Regulatory Authority (FINRA) recently announced that it has

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June 29, 2011

Raymond James Auction Rate Securities Settlement

According to the Investment News, as part of a settlement with eight states and the

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