Search for: "Keegan & Keegan, Inc."
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22 Jun 2011, 12:22 pm
Morgan Keegan Ordered to Pay $200 Million to Investors to Settle Allegations Regarding Sales of Bond Funds Sales Materials Made Exaggerated Claims and Failed to Disclose Risks; Supervisory System Failures WASHINGTON — The Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC) and five state regulators from Alabama, Kentucky, Mississippi, South Carolina and Tennessee announced today that each has settled enforcement proceedings against Morgan… [read post]
12 May 2011, 7:49 pm
Inc. [read post]
17 Mar 2011, 6:38 pm
16 Mar 2011, 7:41 am
The Liebermans were customers of broker-dealer Morgan Keegan & Company, Inc. in May 2007 when Morgan Keegan recommended they invest 100% of their account ($200,000) in a hedge fund, Greenwich Sentry, L.P. [read post]
28 Dec 2010, 4:02 am
Shares of The Ensign Group Inc. rose 20 cents to $23.75, while Kindred Healthcare Inc.'s stock added 5 cents to $19.04. [read post]
24 Sep 2010, 7:00 am
Morgan Keegan & Company Inc., James C. [read post]
8 Apr 2010, 8:49 pm
Related Web Resources: SEC Charges Morgan Keegan and Two Employees With Fraud Related to Subprime Mortgages, SEC.gov, April 7, 2010 SEC Order (PDF) Morgan Keegan, 2 Employees Face SEC Fraud Charges, The Wall Street Journal, April 7, 2010 [read post]
8 Apr 2010, 1:46 pm
FINRA filed a complaint against Morgan Keegan & Company, Inc., charging the firm with... [read post]
8 Apr 2010, 9:32 am
Several Regions Morgan Keegan bond funds that lost more than $1 billion of investor assets have resulted in enforcement actions against Morgan Keegan & Co. and its asset management unit, Morgan Asset Management Inc., by the Securities and Exchange Commission (SEC), four states and the Financial Industry Regulatory Authority (FINRA). [read post]
17 Mar 2010, 11:46 am
Stein, Stein Holdings, Inc., and Stein Investments, LLC $2.5 million on a $6.1 million claim against Memphis-based Morgan Keegan related to investments in the two RMK Select bond funds and 3 of the 4 RMK closed-end bond funds. [read post]
2 Mar 2010, 7:35 am
Last summer, both the Securities and Exchange Commission and the Financial Industry Regulatory Authority Inc. issued Wells notices to Morgan Keegan, a step signaling that enforcement actions against Morgan Keegan have been recommended in connection with the bond funds. [read post]
23 Feb 2010, 9:37 pm
Stein and his two companies are pursuing a securities claim against Regions Financial and Morgan Asset Management, Inc. [read post]
1 Feb 2010, 6:36 am
Editor’s Note: Eduardo Gallardo is a partner focusing on mergers and acquisitions at Gibson, Dunn & Crutcher LLP. [read post]
25 Jan 2010, 5:00 am
Dec. 27, 1991); In re Keegan Management Co. [read post]
9 Oct 2009, 10:00 am
Recently, the Securities and Exchange Commission (SEC) filed a federal lawsuit against Morgan Keegan & Company, Inc., alleging widespread sales practices violations in connection with its underwriting, marketing and sale of auction rate securities ("ARS"). [read post]
31 Jul 2009, 2:22 pm
Even though the Wells Notice did not specifically name the funds in question, the SEC said they were managed by Morgan Asset Management Inc., which is part of Morgan Keegan. [read post]
22 Jul 2009, 9:43 am
On July 21, 2009, the Securities and Exchange Commission ("SEC") filed a Complaint against Morgan Keegan & Company, Inc. in the United States District Court for the Northern District of Georgia for misleading investors about the liquidity risks of auction rate securities that it sold. [read post]
21 Jul 2009, 1:58 pm
District Court for the Northern District of Georgia against Morgan Keegan & Company, Inc. [read post]
21 Jul 2009, 8:49 am
On July 9, 2009, Morgan Keegan & Company, Inc. [read post]
16 Jul 2009, 12:17 pm
Last week, the Staff of the Atlanta Regional Office of the US Securities and Exchange Commission sent Morgan Keegan & Co, Inc., Morgan Asset Management, Inc., and three employees a "Wells" notice. [read post]
