Insights
April 1, 2014
For a number of years, many had wondered who operated one of the biggest penny-stock websites, but now a lawsuit has linked John Babikian, a Bugatti-driving 26-year-old, to the site. Babikian used Awe...
March 27, 2014
Bank of America has agreed to pay $9.3 billion to settle claims with Fannie Mae and Freddie Mac after selling the institutions faulty mortgage bonds. The Federal Housing Finance Agency alleged that Ba...
March 26, 2014
James H. Frank of Santa Barbara, California may have jeopardized the outcomes of almost forty securities arbitrations, some of which date back to more than fifteen years. According to a FINRA spokeswo...
March 26, 2014
In order to begin the arbitration process, a party should file a Statement of Claim with FINRA. This party is called the “claimant.” The party against whom the Statement is filed is called...
March 24, 2014
Several brokerage firms have stopped selling leveraged exchange traded funds (ETFs) after the Financial Industry Regulatory Authority Inc. warned brokers that they “typically are unsuitable for ...
March 17, 2014
The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory organization, a non-governmental organization that performs financial regulation of member brokerage firms and exchange m...
March 14, 2014
The Securities and Exchange Commission has charged global investment bank and brokerage firm Jefferies LLC with failing to supervise its employees who sold mortgage-backed securities desk and were in ...
March 13, 2014
US banking giant JPMorgan Chase has agreed to pay USD 400 million in a settlement for litigation filed by Syncora Guarantee Inc. over mortgage-backed securities . Syncora said it would drop the rest o...
March 12, 2014
On Feb. 19, RBS officials announced that the company had reached a $275 million settlement with the U.S. government to resolve allegations of misleading investors in mortgage-backed securities. The se...
March 11, 2014
The Commodity Futures Trading Commission (CFTC) is investigating the sky high fees that are charged to investors in managed futures funds. This comes after a December 19, 2013 letter that the Senate&#...
March 7, 2014
A group of securities and investment attorneys has asked Congress to provide more information to consumers about the brokers that handle their money. FINRA does not go as far as some U.S. state securi...
March 5, 2014
A Morgan Stanley subsidiary on Tuesday argued that a New York judge should dismiss a breach of contract suit brought by a trust over $110.8 million in losses suffered by investors in mortgage-backed s...
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