7 results

• Elder Financial Abuse May Impact Nearly 20% of Seniors: Report

  March 24, 2016

  Irvin Jackson

  A new survey finds that a large number of elderly Americans may be victims of financial fraud and calls on doctors and their children to watch for signs of financial abuse.

• F-Squared Admits Wrongdoing, Pays $35M To Address SEC Fraud Charges

  January 7, 2015

  Irvin Jackson

  The investment firm F-Squared faked a successful investment history using a broken hypothetical model, committing fraud against its clients, the SEC charges.

• Merrill Lynch Mutual Fund Charges Draw $100M in Fines, Fees by FINRA

  June 19, 2014

  Irvin Jackson

  Merrill Lynch will pay out nearly $100 million to make up for overcharging charities and retirement funds for mutual fund sales.

• UBS Says Puerto Rico Bonds to be Downgraded to Junk

  February 3, 2014

  Irvin Jackson

  Expect junk status for Puerto Rico bonds within a month, UBS analysts warn, as the company is targeted by investors who claim they were defrauded by UBS Puerto Rico bonds.

• UBS Puerto Rico Bond Complaint Dismissed by SEC, As Losses Mount

  November 5, 2013

  Russell Maas

  An Administrative law judge has dismissed a complaint against UBS by the SEC over Puerto Rico Municipal Bond Funds.

• SEC Investigating Mutual Fund Losses from Puerto Rico Bonds

  October 29, 2013

  Russell Maas

  The SEC is investigating claims of financial fraud by a number of investment firms involving Puerto Rico bond funds.

• FINRA Pitches To Protect Investors from Bad Investment Advisers

  September 14, 2011

  Staff Writers

  Investment advisers may soon find themselves under the new regulatory management of the same group that is charged with arbitrating...