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Tag: Auction Rate Securities
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)...
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...
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...
FINRA Announces Agreements with Three Additional Firms
FINRA Announces Agreements with Three Additional Firms to Settle Auction Rate Securities Violations Northwestern Mutual Investment...
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...
Basics of Auction Rate Securities and 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...
