Call Now for a Free Consultation
(888) 637-5510

Tag: auction rate securities investigation

Blog, Securities Fraud

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

According to documents available from FINRA.org, “without admitting or denying the findings of FINRA,” “Fidelity Brokerage Services...

Read More

Blog, Securities Fraud

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...

Read More

Blog, Securities Fraud

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...

Read More