Recent Posts

The Week in Securities Litigation: Criminal Charges Filed For Financial Fraud, SEC Actions
Posted on 1 Oct 2011 by Thomas O. Gorman

Current market volatility was addressed this week when the Commission announced that the exchanges and FINRA would be filing updated circuit breaker rules. In addition, the staff issued an Alert regarding the use of sub-accounts in market manipulations... Read More

SEC Reaches $200 Million Subprime Settlement With Investment Firms
Posted on 22 Jun 2011 by Timothy Raub

WASHINGTON, D.C. - (Mealey's) Investment adviser Morgan Asset Management Inc., broker-dealer Morgan Keegan & Co. Inc. and employees of both firms have agreed to pay more than $200 million to settle claims related to subprime mortgage-backed securities... Read More