‘Enforcement 40’ for 2020
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By Securities Docket on August 8, 2013, 7:40 am
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. […]
By Securities Docket on May 17, 2012, 1:15 pm
SEC reportedly investigating hedge fund firm that bet on mortgage-bond deals that imploded.
By Securities Docket on November 4, 2011, 6:11 pm
Head of SEC’s structured and new products unit says more financial crisis-related cases are on the way.
By Securities Docket on November 3, 2011, 11:11 am
Chief of SEC’s structured and new products unit predicts additional cases will be filed over the next several months.
By Securities Docket on October 20, 2011, 5:10 pm
Does recent Citigroup settlement has “late mover advantage” over 2010 Goldman settlement with SEC?
By Securities Docket on October 19, 2011, 9:10 pm
SEC files settled enforcement action against Citigroup Global Markets alleging that it misled investors about a $1 billion CDO.
By Securities Docket on September 15, 2011, 12:09 pm
SEC stepping up probe of mortgage-bond deals related to financial crisis,
By Securities Docket on August 11, 2011, 1:08 pm
SEC claims Stifel misled Wisconsin school districts about risks of complex CDOs.
By Securities Docket on April 6, 2011, 11:04 am
Wells to pay $6.75 million in restitution plus a $4.45 million civil penalty in CDO case.