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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

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 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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