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https://www.sec.gov/investor/ars.htm
Jul 01, 2011 · General Information about Auction Rate Securities . Testimony Concerning The SEC’s Recent Actions With Respect to Auction Rate Securities, Before the Committee on Financial Services, U.S. House of Representatives, by Linda Chatman Thomsen, Director, Division of Enforcement (September 18, 2008)
https://www.sec.gov/litigation/litreleases/2008/lr20698.htm
The complaint, filed today in federal court in Manhattan, alleges that Julian Tzolov and Eric Butler misled customers into believing that auction rate securities being purchased in their accounts were backed by federally guaranteed student loans and were a safe and liquid alternative to bank deposits or …
https://www.planadviser.com/sec-finalizes-ars-settlements-with-three-banks/
Jun 08, 2009 · The Securities and Exchange Commission (SEC) said it finalized settlements with Bank of America, RBC Capital Markets, and Deutsche Bank over charges that the firms misled investors regarding the liquidity risks associated with auction rate securities (ARS) that …
https://www.finra.org/investors/have-problem/file-complaint/complaint-center
How to File a Complaint with FINRA: You can use our online complaint form. You can print out a complaint form and mail or fax it to us. If you have a question about your investments or our rules, please contact us.. You also can forward spam or junk email recommending that you invest in a stock or other investment.
https://www.investor.gov/introduction-investing/investing-basics/glossary/complaints
The SEC’s Office of Investor Education and Advocacy (OIEA) receives many types of complaints from individual investors, including complaints against brokers, brokerage firms, investment advisers, transfer agents, mutual funds, and other market participants. Investors can submit a complaint form to OIEA to report problems with investments, an investment account, or a financial professional ...
https://www.in.gov/sos/3481.htm
Oct 01, 2009 · The Indiana complaint is filed with the Indiana Securities Commissioner and could result in a fine of $10,000 per violation of the Indiana Securities Act, in addition to restitution for the investors’ funds frozen in the failed auction rate securities market. Media Contact: Jim Gavin, 317.233.8655, [email protected]
http://www.msrb.org/Glossary/Definition/AUCTION-RATE-SECURITIES.aspx
Glossary of Municipal Securities Terms AUCTION RATE SECURITIES Variable rate bonds whose interest rate is reset periodically under the Dutch auction process.
http://securities.stanford.edu/filings-documents/1039/UBS_02/200895_r01c_08CV02967.pdf
Auction Rate Securities, in order to avoid being stuck with them on its own balance sheet. UBS manipulated the auctions for UBS Auction Rate Securities by routinely intervening in auctions to prevent auction failures and to influence the rates of interest (or dividends) paid …
https://www.secactions.com/another-ars-case-is-rejected/
Nov 15, 2011 · In that case Colin Wilson brought a class action against Merrill Lynch for those who purchased auction rate securities between March 25, 2003 and February 13, 2008. The complaint centered on allegations of market manipulation rather than nondisclosures.
https://www.finra.org/taxonomy/term/2689
SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses. ... Investor Complaint Center. File a complaint about fraud or unfair practices. Small Firm Help Line.
https://www.secactions.com/sec-wins-in-eleventh-circuit-against-morgan-keegan/
May 02, 2012 · The Commission prevailed on its appeal to the Eleventh Circuit Court of Appeals in an action against Morgan Keegan & Co. The case centers on claims that the firm defrauded its customers in connection with the purchase and sale of auction rate securities or ARS as the market crisis unfolded.
https://www.chicagotribune.com/investigations/ct-chicago-public-schools-bonds-banks-met-20141107-story.html
Nov 07, 2014 · Auction-rate securities had been richly rewarding for BofA and other investment banks. But the market was shaky, and by that summer the banks were spending billions to keep it afloat.
http://securities.stanford.edu/filings-documents/1039/RJF_01/20091016_r01c_08CV03449.pdf
7. Subsequent to the collapse of the auction rate securities market, the SEC, the New York State Attorney General's Office, and Florida's Office of Financial Regulation have all commenced investigations, all of which remain ongoing, relating to RJA and RJFS's sales of auction rate securities and involvement in the auction rate securities market ...
https://www.law.du.edu/corporate-governance/securities-matters/sec-v-dfrf-enterprises-llc
Merrill Lynch Auction Rate Securities Litigation, In re; Merrill Lynch, Pierce, Fenner & Smith, In re; ... Home » Corporate Governance » Securities Matters » SEC v. DFRF Enterprises, LLC. ... Complaint, SEC v. DFRF Enters. LLC et al, D. Mass., No. 1:15-cv-12857, complaint unsealed (July 2, 2015). Our Commitment to Pay Equity ABA Required ...
http://www.securitiesdocket.com/2008/12/11/sec-finalizes-30-billion-ars-settlements-largest-in-sec-history/
Dec 11, 2008 · The SEC announced today that it has finalized settlements with Citigroup Global Markets, Inc. (C) and UBS Securities LLC and UBS Financial Services, Inc. (UBS) that will provide nearly $30 billion to tens of thousands of customers who invested in auction rate securities before the market for those securities froze in February.
https://www.gibsondunn.com/2019-year-end-securities-enforcement-update/
In September, the SEC filed suit in federal district court in Illinois against an Illinois-based hedge fund adviser, as well as its top two executives, charging the defendants with violations of the antifraud provisions of the federal securities laws. The SEC’s complaint alleges that the defendants manipulated valuation models, which ...
https://www.investor.gov/introduction-investing/basics/role-sec
The following year, it passed the Securities Exchange Act of 1934, which created the SEC. The main purposes of these laws can be reduced to two common-sense notions: Companies offering securities for sale to the public must tell the truth about their business, the securities they are selling, and the risks involved in investing in those securities.
http://asc.alabama.gov/complaints.aspx
PROCEDURE FOR FILING A COMPLAINT WITH THE ALABAMA SECURITIES COMMISSION. The ASC is responsible for regulating the securities industry in the State of Alabama. One of our main functions is to oversee the firms and individuals that engage in …
http://www.msrb.org/News-and-Events/Press-Releases/2010/MSRB-Receives-SEC-Approval-to-Create-Additional-Transparency-For-Variable-Rate-Securities.aspx
Alexandria, VA – The Municipal Securities Rulemaking Board (MSRB) announced today that it has received approval from the Securities and Exchange Commission on a proposal to expand publicly available information about municipal variable rate demand obligations and auction rate securities. The SEC approved allowing the MSRB to require ...
http://www.financialpost.com/story.html?id=832334
Sep 24, 2008 · Canada’s largest bank is at the top of the list for enforcement agents at the Securities Exchange Commission who are pursuing financial institutions implicated in the collapse of the $330-billion auction-rate securities market, according to two federal officials.
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