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Tag: Auction Rate Securities

Blog, Securities Fraud

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)...

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Blog, Securities Fraud

Janney Montgomery Scott Regulatory History and Sales Practices

Established in 1832, Janney Montgomery Scott is a Philadelphia, Pennsylvania based FINRA broker-dealer.  Janney Montgomery Scott has from...

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Blog, Securities Fraud

FINRA issues alert about “Phishing” Scam

FINRA recently issued an Alert to warn the public about a recent auction rate securities (ARS) “phishing” scam that promises...

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Blog, Securities Fraud

FINRA Announces Agreements with Three Additional Firms to Settle Auction Rate Securities Violations

FINRA Announces Agreements with Three Additional Firms to Settle Auction Rate Securities Violations Northwestern Mutual Investment...

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Blog, Securities Fraud

SEC Investigating Morgan Keegan’s Sales of Auction Rate Securities

The Securities and Exchange Commission recently charged Tennessee-based broker-dealer Morgan Keegan & Company, Inc. for misleading...

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Blog, Securities Fraud

Basics of Auction Rate Securities and Possible Securities Fraud Claims

Auction rate securities refer to long-term investments that have a short-term twist: the interest rates or dividends they pay are reset at...

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