Auction Rate Securities
Tag Archive

September 27, 2011

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

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

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October 21, 2010

Janney Montgomery Scott Regulatory History and Sales Practices

Established in 1832, Janney Montgomery Scott is a Philadelphia, Pennsylvania based

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October 8, 2009

FINRA issues alert about a recent auction rate securities “phishing”...

FINRA recently issued an Alert to warn the public about a recent auction rate

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September 7, 2009

FINRA Announces Agreements with Three Additional Firms to Settle Auction...

FINRA Announces Agreements with Three Additional Firms to Settle Auction Rate

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August 8, 2009

SEC Investigating Morgan Keegan’s Sales of Auction Rate Securities

The Securities and Exchange Commission recently charged Tennessee-based

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August 7, 2009

Basics of Auction Rate Securities and Possible Securities Fraud Claims

Auction rate securities refer to long-term investments that have a short-term twist:

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