Tag: CDO fraud attorney
SEC Enforcement Actions coming out of the 2008 financial crisis.
Securities and Exchange Commission (SEC) recently released a report highlighting key statistics relating to enforcement actions they have...
Guggenheim Securities fined by FINRA over CDO trading activity.
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Guggenheim Securities, LLC of New York $800,000...
Mizuho Securities Charged by SEC over CDO Sales
The Securities and Exchange Commission recently charged the U.S. investment banking subsidiary of Japan-based Mizuho Financial Group and...
Citigroup fined over inaccurate information.
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $3.5 million for...
State Street Corp. fined over CDO Role
According to reports, the Massachusetts Secretary of State has fined a unit of State Street Corp. $5 million for its role in a...
Wells Fargo to settle SEC claim involving CDO sales.
According to the Investment News, home loan giant Wells Fargo & Co. has agreed to pay $11.2 million to settle federal securities...
