4 results

• UBS Investor Arbitration Claim Results in $81M Damages Award

  August 5, 2010

  Staff Writers

  Financial industry regulators have ordered UBS Financial Services, Inc. to pay $81 million to Kajeet, Inc. following an investor arbitration...

• Oppenheimer Settles Lawsuit Over Auction Rate Securities with New York AG

  February 26, 2010

  Staff Writers

  Oppenheimer & Co. has reached a settlement with New York Attorney General Andrew Cuomo to return $31 million in losses...

• Charles Schwab Lawsuit Filed by New York AG Over Auction Rate Securities

  August 18, 2009

  AboutLawsuits

  New York Attorney General Andrew Cuomo filed a lawsuit against Charles Schwab Corp. on Monday, accusing the brokerage firm of...

• Morgan Keegan Lawsuit Filed by SEC Over Auction Rate Securities

  July 22, 2009

  AboutLawsuits

  Federal regulators have filed a lawsuit against Morgan Keegan & Co. Inc. for allegedly bilking investors of nearly $925 million...