Year: 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 …

SEC WINS IN ELEVENTH CIRCUIT AGAINST MORGAN KEEGAN Read More »

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The Commission instituted proceedings against UBS Puerto Rico and two of its former senior executives alleging that misrepresentations were made in connection with the sale of shares in non-exchange traded closed end funds about the pricing and the market. The …

SEC CHARGES UBS SUSIDIARY, TWO EXECUTIVES WITH FRAUD Read More »

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