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CFO
July 15, 2009
Vincent Ryan |
Buyer's Remorse Treasury departments are still paying a price for auction-rate securities.   |
Registered Rep.
July 20, 2009
David A. Geracioti |
The Auction Rate Securities Mess Still Lives This time it was TD Ameritrade, without admitting or denying guilt, who settled with the SEC "for making inaccurate statements when selling auction rate securities (ARS) to customers." |
Registered Rep.
June 3, 2009
David Geracioti |
ARS Games -- SEC Blames Firms, Settles with BAC, RBC and DEUTSCHE When the auction rate securities market froze up in February 2008, angry clients blamed their financial advisors. |
The Motley Fool
December 23, 2009
Robert Steyer |
The Daily Walk of Shame: Auction Rate Securities Auction rate securities were promoted as being as safe as CDs, but when the ARS soured in early 2008 and customers wanted their money back, promoters said the accounts were frozen. |
The Motley Fool
April 8, 2008
Rich Smith |
Psst. Buddy. Wanna Buy a Bond? Auction-rate securities should make investors feel anything but secure. |
Registered Rep.
November 8, 2011
Jerry Gleeson |
Auction Rate Revenge For tens of thousands of investors who were trapped in the auction rate securities debacle that started in 2008, finances are getting back to normal. |
The Motley Fool
April 18, 2008
Rich Duprey |
Auction Rate Agony Investors get frozen out of their money as auction rate securities shrivel. |
On Wall Street
October 1, 2008
Donna Mitchell |
Auction-Rate Securities Dust Settles, But What About Small Brokerages? Observers expect red faces as regional brokerage customers are left out of the settlements and advisors better prepare for some harsh words. |
Registered Rep.
September 3, 2008
John Churchill |
Brokers Charged In Fraudulently Selling $1bn Of ARS To Retail Clients In the first case of its kind, the SEC announced today that it has charged two individual financial advisors with fraud related to the sale of more than $1 billion in auction-rate securities. |
Financial Planning
July 1, 2006
Lynn Hume |
TBMA Launches Bond Indexes The Bond Market Association published the first of a weekly series of eight indexes covering different kinds of auction-rate securities. The indexes are designed to give issuers and investors benchmarks to evaluate the rates they are getting on securities sold through the auction process. |
The Motley Fool
March 7, 2008
Dan Caplinger |
Auction-Rate Anxiety The credit crisis hits leveraged mutual fund shareholders. |
Registered Rep.
December 11, 2008 |
SEC Finalizes $30 Billion ARS Settlement With Citi And UBS The $30 billion settlement is the largest in SEC history and restores liquidity to ARS investors at par value of their holdings. |
Registered Rep.
June 9, 2008 |
Credit Downgrades, More Write-Downs And The ARS Market Credit downgrades to MBIA and AMBAC Financial Group, the world's largest bond insurers, will lead to more write-downs at Citigroup, Merrill Lynch and UBS, according to a new research report. |
Registered Rep.
June 29, 2011
Kristen French |
Raymond James Hit With $300 million ARS Settlement; Pay Back For All ARS Clients The company has agreed to a multi-state settlement that will require the firm to buy back $300 million in auction rate securities it sold to clients prior to the collapse of the ARS market in February of 2008. |
Registered Rep.
March 28, 2008
David A. Geracioti |
More Trouble In Auction-Rate Securities Land The State of Massachusetts Secretary of State is investigating the sales practices of auction-rate securities, to learn how these securities are presented to individual clients in the state. |
The Motley Fool
June 19, 2008
Rich Duprey |
Finally, Money for Auction-Rate Securities A new product may finally save investors stuck with frozen auction-rate securities. |
Registered Rep.
August 7, 2008
John Churchill |
Citi Settles With SEC and Cuomo Over ARS Failure The firm has agreed to buy back auction rate securities sold to institutional and retail investors nationwide who've been stuck with the illiquid investment vehicles since February 12, 2008. |
Registered Rep.
July 31, 2008
John Churchill |
Massachusetts Says Merrill Defrauded ARS Clients Among the many claims against Merrill Lynch is that management censored otherwise gloomy fixed income research in order to move volatile inventory out of company inventory and into client portfolios. |
Financial Planning
July 1, 2011
Donna Mitchell |
Hot Topics FINRA steps in... $80 million settlement of two class-action suits by Securities America... Whistleblower payday... |
Investment Advisor
June 2008
Joseph & Trincal |
The Continuing Crisis in Auction Rate Securities While news of trouble at monoline insurers seems to have slowed since February, the municipal bond sector still faces critical challenges. |
Wall Street & Technology
May 19, 2008
Ivy Schmerken |
A Freeze in Auction-Rate Securities Opens a Door for the Restricted Securities Trading Network In the wake of the credit crisis, Restricted Stock Partners' Restricted Securities Trading Network, which was designed to trade restricted stocks, is rescuing investors trapped in auction-rate securities. |
The Motley Fool
August 20, 2009
Tim Beyers |
Should Your Broker Pay for Your Losses? When New York Attorney General Andrew Cuomo on Monday sued Charles Schwab for allegedly misrepresenting the risks inherent with auction-rate securities, he sent a message: Take care to warn investors early and often, or suffer the consequences. Is this a good idea? |
Investment Advisor
July 2006 |
B/d Briefing: News & Products The Securities and Exchange Commission announced on May 31 the institution of proceedings against 15 broker/dealer firms... In the past year nearly 200 advisors have been added to the H&R Block Financial Advisors team... etc. |
Registered Rep.
October 8, 2008 |
Bank of America Reaches Second Settlement To Buy Back ARS The agreement closely mirrors the firm's earlier settlement with the Massachusetts Securities Division that was announced in September, 2008. |
Financial Planning
February 1, 2007
Lynn Hume |
The Bond Buyer The Justice Department and SEC investigations of municipal-bond-related investments and derivatives will overshadow, if not dominate, much of what happens on the securities side of the muni market during the coming year. |
Financial Planning
August 1, 2008
Andrew Ackerman |
In First, Mass. Sues UBS In the first state-level lawsuit against an investment firm over auction-rate securities, Massachusetts has filed securities fraud charges against UBS for selling retail investors auction-rate paper as "liquid, safe, money-market" instruments even though the defendants knew it was not. |
Commercial Investment Real Estate
Jan/Feb 2011
Joe Tang |
The Auction Option Auctions now are accepted by both buyers and sellers as a viable means of completing transactions. Furthermore, conducting an auction online versus on site allows brokers to maximize efficiency, tap into a limitless buyer pool, and offer buyers full transparency. |
Registered Rep.
September 10, 2008 |
Bank of America to Buy Its ARs Back The nation's second-largest bank by assets settled an investigation by Massachusetts regulators, agreeing to buy back $4.5 billion worth of the securities. |
On Wall Street
January 1, 2010
Alan J. Foxman |
Blamed for ARS He Didn't Sell Misrepresenting auction-rate securities... BrokerCheck public disclosure system... |
The Motley Fool
January 12, 2007
Dan Caplinger |
Buying Treasuries Direct You can buy bonds commission-free from the federal government. |
Commercial Investment Real Estate
Nov/Dec 2013
Taylor & Trowbridge |
Group Investing Update Changes to securities laws may change your business model. |
Commercial Investment Real Estate
Nov/Dec 2009
Lynn & Greene |
The Auction Advantage Accelerated marketing gains traction in today's troubled market. |
The Motley Fool
August 11, 2008
Rich Duprey |
The Auction-Rate Thaw Turns to a Flood Settlements by big investment banks may finally inundate the frozen market with cash. |
Investment Advisor
May 2008 |
News & Products, May 2008 Pension funding ratios fell 11% in the first quarter of 2008... FINRA, NYSE Regulation, Inc., and participants of the Options Regulatory Surveillance Authority are coordinating new, tougher regulatory efforts... |
Commercial Investment Real Estate
Nov/Dec 2009
Lynn & Greene |
How Do Auction Sales Work? Here are some of the points that define the auction process and make auctions a popular alternative in today's uncertain market. |
Registered Rep.
September 21, 2007
Halah Touryalai |
Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers. |
Registered Rep.
June 26, 2008
John Churchill |
Tough Morning For Brokerage Sector Stomachs are surely turning at the wirehouse brokerage firms this morning. |
Registered Rep.
May 1, 2004 |
Cutting the Pace of Cost-Cutting New numbers from the Securities Industry Association suggest that cost-reduction efforts are easing. |
Commercial Investment Real Estate
May/Jun 2003
Steven L. Good |
The Auction Alternative Discover how the bidding process can generate profitable deals. |
The Motley Fool
August 12, 2008
Morgan Housel |
Auction Rate Ugliness Returns Quit blaming others when your portfolio explodes. |
Registered Rep.
August 1, 2008 |
Correction The correction of a quote regarding information gathered from brokerage clients invested in auction-rate securities. |
The Motley Fool
February 20, 2007
Dan Caplinger |
Bid for Better Savings CD auctions bring the appeal of online auctions to investing. If you recognize what rates you can get at other banks and don't let the auction format affect your judgment, CD auctions are a no-lose proposition for investors. |
AskMen.com
Michael Estrin |
5 Things You Didn't Know You Could Buy At Auction Auctions are not only for fancy works of art and antiques, the truth is that just about anything can be sold at these events. Here's a list of things you can save big bucks on at auction. |
Registered Rep.
November 30, 2005
Halah Touryalai |
LPL Deal Signals Seller's Market for B/Ds Mergers and acquisitions experts say the Linsco/Private Ledger sale to two private equity firms offers proof that it's a seller's market for independent broker/dealers. Moreover, many more b/d deals are on the way, they say. |
Commercial Investment Real Estate
Jan/Feb 2007
Good & Lynn |
The eBay Effect Technology helps increase the audience for commercial real estate auctions. |
AskMen.com
Michael Estrin |
Getting Good Deals At Auctions Whether you're buying a piece of jewelry for your girl or a new car, no guy likes to pay full price. Here are the basics so that you can get started in the world of auctions. |
Registered Rep.
January 1, 2006
Halah Touryalai |
The Winner's Curse Many advisors independent b/ds recruit have now unrealistic expectations: They want full technical and marketing support, as well as help understanding products and asset managers. |
Financial Advisor
August 2007
Gail Liberman |
Saying Good-Bye To Your Property Should you consider recommending a real estate auction for your financial advisory client who is having trouble selling a home? And what other options are available if a client's property isn't moving? |
BusinessWeek
June 11, 2007
Anne Tergesen |
Let's Play "Name That Yield" Zionsdirect.com's online CD auctions routinely net bidders top returns. |
PC World
June 1, 2000
Gregg Keizer |
Hammer Time! Excess inventory, limited local markets, modest advertising budgets... Small businesses face a tough challenge in any market--and in today's go-go economy, the competition is even rougher. Luckily, help awaits just around the corner, in the form of online auctions. Sure, hobbyists and junk addicts love them, but online auctions can also open doors for businesses of many sizes. |
