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Tag: collateralized debt obligation

Blog, Securities Fraud

Judge Questions Citigroup CDO Settlement Deal

We recently blogged about a proposed deal between Citigroup and the SEC to resolve fraud charges related to collateralized debt...

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Blog, Securities Fraud

Citigroup to Pay $285 Million Settlement for Fraud Case

According to the Securities and Exchange Commission they, “charged Citigroup’s principal U.S. broker-dealer subsidiary with misleading...

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Blog, Securities Fraud

APS Financial Corporation Expelled By FINRA

Financial Industry Regulatory Authority (FINRA) recently announced that it has expelled APS Financial Corporation, located in Austin,...

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Blog, Securities Fraud

FINRA Fines Goldman Sachs

FINRA recently announced that it has fined Goldman, Sachs & Co. $650,000 for failing to disclose that two of its registered...

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