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Browse: Home / CDOs

CDOs

UBS Inks $50 Million Deal with SEC in CDO Case — The Litigation Daily

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. […]

Posted in SEC, Top | Tagged CDOs, Settlements

SEC Probes Role of Hedge Fund in CDOs

SEC Probes Role of Hedge Fund in CDOs

By Securities Docket on May 17, 2012, 1:15 pm

SEC reportedly investigating hedge fund firm that bet on mortgage-bond deals that imploded.

Posted in SEC, Top | Tagged CDOs, Hedge Funds

SEC Compiles List of Financial Crisis Cases; Says More on the Way Soon

SEC Compiles List of Financial Crisis Cases; Says More on the Way Soon

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.

Posted in SEC, Top | Tagged CDOs | 1 Response

SEC expects to file further CDO charges

SEC expects to file further CDO charges

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.

Posted in SEC, Top | Tagged CDOs

The Late Mover Advantage in Citigroup's Settlement

The Late Mover Advantage in Citigroup’s Settlement

By Securities Docket on October 20, 2011, 5:10 pm

Does recent Citigroup settlement has “late mover advantage” over 2010 Goldman settlement with SEC?

Posted in SEC | Tagged CDOs, Settlements

SEC and Citigroup Agree to $285 Million Settlement; Agency Claims Bank Misled Investors About CDO

SEC and Citigroup Agree to $285 Million Settlement; Agency Claims Bank Misled Investors About CDO

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.

Posted in SEC, Top | Tagged CDOs

SEC Widens CDO Probe

SEC Widens CDO Probe

By Securities Docket on September 15, 2011, 12:09 pm

SEC stepping up probe of mortgage-bond deals related to financial crisis,

Posted in SD Insider, SEC, Top | Tagged CDOs

SEC Sues Stifel for Fraud Over Wisconsin School CDO Losses

SEC Sues Stifel for Fraud Over Wisconsin School CDO Losses

By Securities Docket on August 11, 2011, 1:08 pm

SEC claims Stifel misled Wisconsin school districts about risks of complex CDOs.

Posted in SEC, Top | Tagged CDOs

Wells Fargo to pay $11.2 M in SEC case

Wells Fargo to pay $11.2 M in SEC case

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.

Posted in SEC | Tagged CDOs

Wachovia Is Targeted by SEC Over Sale of CDOs

Wachovia Is Targeted by SEC Over Sale of CDOs

By Securities Docket on April 4, 2011, 11:04 am

SEC reportedly preparing case against bank for overpricing mortgage-bond deals.

Posted in SEC | Tagged CDOs

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