Year: 2012

The Commission filed four settled market crisis actions centered on the sale of interests in a collateralized debt obligation. Each center on the CDO known as Delphinus CDO 2007-1 structured by Mizuho Securities USA, Inc. in mid-2007 and for which …

The Commission Settles Four Related Market Crisis Actions Read More »

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The Commission settled its market crisis based enforcement action against Kimon P. Daifotis, former Chief Investment Officer for Fixed Income for Schwab YieldPlus Fund. The case involving Mr. Daifotis was one of the first to apply the Supreme Court’s teachings …

Former Schwab Executive Settles With SEC Read More »

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