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Just days after a federal jury sided with the Securities and Exchange Commission and found former Goldman Sachs trader Fabrice Tourre liable for defrauding investors in a doomed collateralized debt obligation, UBS AG agreed Tuesday to pay $49.8 million to settle SEC allegations that it misled investors when it created a similar CDO in 2007. […]
SEC reportedly investigating hedge fund firm that bet on mortgage-bond deals that imploded.
Head of SEC’s structured and new products unit says more financial crisis-related cases are on the way.
Chief of SEC’s structured and new products unit predicts additional cases will be filed over the next several months.
Does recent Citigroup settlement has “late mover advantage” over 2010 Goldman settlement with SEC?
SEC files settled enforcement action against Citigroup Global Markets alleging that it misled investors about a $1 billion CDO.
SEC claims Stifel misled Wisconsin school districts about risks of complex CDOs.
Wells to pay $6.75 million in restitution plus a $4.45 million civil penalty in CDO case.
SEC reportedly preparing case against bank for overpricing mortgage-bond deals.