• Morgan Keegan – Mamtek Bonds:  Missouri Secretary of State Jason Kander issued a press release Thursday regarding failed artificial sweetener manufacturer Mamtek.  In the release, Kander announced a cease-and-desist… View Investigation.
  • Success Trade Securities:  The Financial Industry Regulatory Authority (“FINRA”) has filed a Temporary Cease-and-Desist Order (“the Order”) against Washington, D.C.-based Success… View Investigation.
  • UBS – The Willow Fund:  The UBS Willow Fund, ostensibly a distressed debt fund, was a closed-ended fund recommended and sold by UBS to its clients.  This product utilized credit default swaps (“CDS”), which are… View Investigation.
  • Results One Financial – Failure to Supervise Block & Landsman is currently prosecuting a securities fraud lawsuit arising out of a fraudulent investment scheme that has been the target of the Securities and Exchange Commission. In July.
  • Ameriprise – Failure to Supervise The Financial Industry Regulatory Authority (“FINRA”) announced a fine of $750,000 against Ameriprise Financial Services, Inc (“Ameriprise”) and its affiliated clearing firm, Ameriprise Enterprise…  / The Financial Industry Regulatory Authority (“FINRA”) announced yesterday it has barred Jeffrey Rubin, a Florida resident, from selling securities for his unsuitable recommendations to customers…  View Investigation.
  • Faith Financial Partners Thomas Redmond, a Carmel resident, was charged by Marion County prosecutors of defrauding elderly victims out of $580,000 through a financial fraud scheme. Adding insult to injury, Redmond… View Investigation.