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Tag: CDO fraud lawyer

Blog, Securities Fraud Articles

April 10, 2013

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...

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Blog, Securities Fraud Articles

October 17, 2012

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...

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Blog, Securities Fraud Articles

July 23, 2012

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...

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Blog, Current Investigations, Securities Fraud Articles

April 4, 2012

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...

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