Month: September 2011

The Commission brought another enforcement action arising out of the multi-million loss suffered by five Wisconsin school districts induced to purchase highly leveraged notes tied to the performance of synthetic collateralized debt obligations or CDOs. In the Mater of RBC …

SEC SETTLES SUITABILITY CASE TIED TO SELLING CDOs TO SCHOOLS Read More »

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The executive at the center of the fraud at Carter’s, Inc., Joseph Elles, was named as a defendant in a 32 count indictment. The charges include securities fraud and wire fraud. U.S. v. Elles, 11 CR 445 (N.D. Ga.). The …

SALES EXECUTIVE AT CENTER OF CARTER’S, INC. FRAUD INDICTED Read More »

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