Morgan Keegan funds were invested in securities backed by subprime mortgages
Five firms charged with securities law violations
Money manager Weizhen Tang was convicted of fraud last month
SEC claims Mathew Martoma illegally obtained insider information about clinical drug trial for Elan and Wyeth
Firms to pay more than US$400 million over mortgage-backed securities
Oversight is having a positive effect, regulator says
This year’s caseload includes an increasing number of cases involving highly complex products, transactions, and practices
Rules designed to ensure that clearing agencies will be able to fulfill their responsibilities in derivatives and market traditional securities markets
Mandatory registration has given the SEC its first comprehensive look at advisors to these types of funds.
Amended complaint alleges women opened accounts in Toronto for three Ontario men accused of hijacking companies