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Explore this section to keep up to date with our news, articles, and current events. Featured: Read Debra Hayes as quoted in a Wall Street Journal Article on Morgan Keegan Securities Arbitration   [read more] Our articles are posted below: Click on a summary to view the full article. >>> August 31, 2009 Former CEO indicted on $200 million securities fraud By Paula Reed Ward, Pittsburgh Post-Gazette Nearly four years after the SEC launched an investigation into financial irregularities at a former Wilkins business, the president and CEO has been indicted on charges that he orchestrated a $200 million securities fraud. >>> August 26, 2009 Auction Rate Securities and Stock Broker Arbitration By Heidi Turner New York, NY: New York Attorney General Andrew Cuomo has filed a lawsuit against brokerage firm Charles Schwab, alleging the company committed fraud and misled investors in the sale of auction rate securities. >>> August 25, 2009 Boca Raton Man Convicted of Securities Fraud, Tax Source: U.S. Department of Justice Donald Platten of Boca Raton, Fla., was convicted today of conspiracy, securities fraud and tax charges following a jury trial before Judge Donald Middlebrooks in West Palm Beach, Fla., the Justice Department and Internal Revenue Service (IRS) announced. >>> August 21, 2009 Court freezes San Diego firm’s funds after SEC accuses it of fraud By Sue Asci MAK 1 Enterprises Group and its owner are charged with bilking customers of $5 million used to buy homes and cars >>> August 19, 2009 SEC Charges Brantley Capital Management with Securities Fraud By Sarah N. Lynch, Of DOW JONES NEWSWIRES WASHINGTON - (Dow Jones)- The Securities and Exchange Commission said Thursday it has filed civil securities fraud charges against investment company Brantley Capital Management and two of its former executives. >>> August 18, 2009 Plano man accused of defrauding oil, gas investors of $610,000 By ELIZABETH SOUDER / The Dallas Morning News Another North Texan has been arrested on accusations of oil and gas securities fraud. >>> August 17, 2009 U.S. says ex-Credit Suisse broker in bait-and-switch By Jonathan Stempel NEW YORK (Reuters) - A former Credit Suisse Group AG broker used bait-and-switch tactics in fraudulently steering corporate clients into risky mortgage investments they did not want, federal prosecutors said on Friday. >>> August 13, 2009 Axa Advisors to pay $50,000 settlement in connection to retirement-fund fraud By Sara Hansard The Securities and Exchange Commission on Tuesday filed an administrative proceeding against Axa Advisors LLC for failing to supervise a former registered representative who pleaded guilty to securities fraud in January 2008. >>> August 12, 2009 Madoff Aide Reveals Details of Ponzi Scheme By JACK HEALY and DIANA B. HENRIQUES Frank DiPascali was a “kid from Queens” fresh out of high school when he landed a job in 1975 with a rising star on Wall Street named Bernard L. Madoff. >>> August 11, 2009 Franklin advisor gets 10 years for securities fraud Nashville Business Journal - by Jeannie Naujeck Staff Writer Gordon Grigg, the Franklin-based “financial life coach” charged in April with securities fraud, has been sentenced to 10 years in prison for swindling investors out of more than $6 million in a Ponzi-type scheme. >>> August 10, 2009 Greenberg settles AIG charges for $15 million Regulators say the former chief executive of the insurer agreed to statements that artificially inflated earnings. NEW YORK (CNNMoney.com) -- Maurice "Hank" Greenberg, former chief executive of American By Ben Rooney, CNNMoney.com staff writer International Group, has agreed to pay $15 million to settle charges related to an accounting scandal, the Securities and Exchange Commission said Thursday. >>> August 6, 2009 Specter Law Would Let Investors Sue Fraud Accomplices By Joshua Gallu (Bloomberg) -- U.S. Senator Arlen Specter introduced legislation to let investors sue law firms, accountants and investment banks that helped perpetrate fraud, seeking to overcome recent Supreme Court limits on such cases. >>> August 4, 2009 WSJ Compliance Watch: Morgan Keegan Asks Court to Vacate Awards By Suzanne Barlyn NEW YORK (Dow Jones)--A binding arbitration award typically marks the end of a battle between an investor and broker. Not so with three awards against Morgan Keegan & Co. >>> August 1, 2009 Investors without a Lifeline Gretchen Morgenson (NY Times) IT’S time again to revisit the auction-rate securities mess, a nightmare that began 18 months ago but that still hasn’t ended for some unfortunate investors. View more articles: September 2010July 2010June 2010May 2010April 2010March 2010February 2010January 2010December 2009November 2009October 2009September 2009August 2009July 2009June 2009May 2009April 2009March 2009February 2009January 2009December 2008August 2008December 2007November 2007October 2007September 2007 Message: Security code:

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