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Tag: auction rate securities investigation

September 27, 2011

Fidelity to Repurchase Illiquid Auction Rate Securities

Fidelity Brokerage Services LLC Agrees to Repurchase Illiquid Auction Rate Securities and FINRA Sets Up a Special Arbitration Panel (SAP)...

Blog, Securities Fraud Articles

July 28, 2011

SunTrust fined over auction rate securities

The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined SunTrust Robinson Humphrey, Inc. (SunTrust RH) and...

Blog, Securities Fraud Articles

June 29, 2011

Raymond James Auction Rate Securities Settlement

According to the Investment News, as part of a settlement with eight states and the Securities and Exchange Commission, Raymond James...

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