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Recent Posts in Mortgage Backed Securities Category

SEC Fines Deutsche Bank Securities $4.45 Million for Misleading Mortgage-Backed Securities Sales

Deutsche Bank Securities agreed to pay $4.45 million, including nearly $1.5 in disgorgement, to settle SEC charges that the firm's compliance and supervisory failures caused customers to overpay ...
Continue reading "SEC Fines Deutsche Bank Securities $4.45 Million for Misleading Mortgage-Backed Securities Sales" »

Stockcross Financial Services of Beverly Hills Fined for Supervisory Violations, Failing to Timely Publish OTC Bids

FINRA censured and fined StockCross Financial Services of Beverly Hills $50,000 for failing to immediately publish a bid to reflect the price and size of 25 customer limit orders for over-the-counter ...
Continue reading "Stockcross Financial Services of Beverly Hills Fined for Supervisory Violations, Failing to Timely Publish OTC Bids" »

FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams

FINRA announced its Business Conduct Priorities for 2014 on Thursday, leading off with the issue of suitability of recommendations for complex products. In its discussion about suitability, FINRA ...
Continue reading "FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams" »

Adviser Rafael R. Sanchez Barred & Ordered to Pay $4.6 Million in Damages Over Real-Estate Fund Damages

After barring adviser former MAM Securities, Inc. representative and MAM Wealth Management, LLC investment adviser Rafael R. Sanchez of Sherman Oaks, California for engaging in unethical conduct ...
Continue reading "Adviser Rafael R. Sanchez Barred & Ordered to Pay $4.6 Million in Damages Over Real-Estate Fund Damages" »

SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines

The Securities and Exchange Commission is turning to a new Enforcement strategy: zero in on minor infractions in order to stop large violations from occurring later on. SEC Chairman Mary Jo ...
Continue reading "SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines" »

FINRA's TRACE Program to Increase Transparency of Mortgage-Backed Securities Market

FINRA Monday announced an accelerated effort to "significantly" increase transparency in Fannie Mae-, Freddie Mac- and Ginnie-Mae issued mortgage-backed securities through the Trade ...
Continue reading "FINRA's TRACE Program to Increase Transparency of Mortgage-Backed Securities Market" »

Martin Benjamin Feibish Barred For Scheming to Misappropriate Over $5 Million From Elderly Customer Through Fake Investment Vehicles and Forgery

FINRA barred former MML Investor Services, Inc. broker Benjamin Martin Feibish after discovering that Feibish had developed a scheme with the goal of misappropriating more than $5 million from an ...
Continue reading "Martin Benjamin Feibish Barred For Scheming to Misappropriate Over $5 Million From Elderly Customer Through Fake Investment Vehicles and Forgery" »

Brookstone Securities Fined $1 Million, CEO Antony Turbeville Barred for Fraudulent Sales of CMOs to Elderly Clients

The Financial Industry Regulatory Authority (FINRA) fined Brookstone Securities and barred the firm's Owner & CEO Antony Turbeville from the industry for fraudulent sales of collateralized ...
Continue reading "Brookstone Securities Fined $1 Million, CEO Antony Turbeville Barred for Fraudulent Sales of CMOs to Elderly Clients" »

Oppenheimer to Pay $35 Million for Misleading Investors During Financial Crisis

The Securities and Exchange Commission (SEC)charged investment management company OppenheimerFunds, Inc. for grossly misleading investors in regards to the policies and practices of two of its funds, ...
Continue reading "Oppenheimer to Pay $35 Million for Misleading Investors During Financial Crisis" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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