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Tag: CMO losses

Blog, Securities Fraud

June 5, 2012

Brookstone Securities fined by FINRA over CMO sales

The Financial Industry Regulatory Authority (FINRA) recently announced that a FINRA hearing panel ruled that Brookstone Securities of...

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Blog, Securities Fraud

April 6, 2011

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...

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Blog, Securities Fraud

October 14, 2010

FINRA Fines HSBC Securities For Unsuitable CMO Sales

FINRA recently announced that it has fined HSBC Securities (USA) Inc. $375,000 for recommending unsuitable sales of inverse floating rate...

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