Tag: fraud

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 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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