Search for: "Morgan Keegan & Company"
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23 Feb 2010, 9:37 pm
Panel members found Morgan Keegan liable for failure to supervise, negligence, and for selling investments that were unsuitable for Stein and his companies. [read post]
1 Feb 2010, 6:36 am
The five units will be as follows: The Asset Management Unit to focus on investment advisers, investment companies, hedge funds and private equity funds; The Market Abuse Unit to focus on large-scale market abuses and complex manipulation schemes by institutional traders, market professionals and others; The Structured and New Products Unit to focus on complex derivatives and financial products, such as credit default swaps, collateralized debt obligations and other securitized products;… [read post]
25 Jan 2010, 5:00 am
Dec. 27, 1991); In re Keegan Management Co. [read post]
20 Jan 2010, 5:31 pm
Maddox Hargett & Caruso continues to investigate the selling practices of brokerage firms such as UBS, Merrill Lynch, Citigroup, LPL Linsco, Morgan Keegan & Company, as well as others that may have recommended unsuitable investments in non-traded REITs to their clients. [read post]
11 Jan 2010, 4:56 pm
Morgan Keegan RMK funds lost $2 billion the year beginning March 31, 2007. [read post]
28 Oct 2009, 7:48 am
A former president of a Memphis gas company won a $51,000 arbitration award against Morgan Keegan & Co. related to the Morgan Keegan bond funds. [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]
23 Sep 2009, 10:23 am
Regions' Morgan Keegan affiliate is currently the subject of investigations involving bond funds sold by the company and is the subject of an action involving auction rate securities sold by the company. [read post]
14 Sep 2009, 6:44 am
The firm Morgan Keegan is facing numerous such claims. [read post]
1 Sep 2009, 1:58 pm
Wright, a church secretary from Whitestown, Indiana, lost thousands of dollars in a bond fund formerly managed by Morgan Keegan & Company. [read post]
24 Aug 2009, 11:15 am
Wright, a church secretary from Whitestown, Indiana, lost thousands of dollars in a bond fund formerly managed by Morgan Keegan & Company. [read post]
19 Aug 2009, 10:38 am
SNSFE attorneys are investigating Morgan Keegan & Company following SEC charges that the firm committed fraud in the marketing and sale of auction rate securities to customers. [read post]
10 Aug 2009, 7:13 am
., whose brokerage arm is Morgan Keegan & Company, has revealed in its Aug. 5 10-Q filing with the Securities and Exchange Commission (SEC) that Morgan Keegan, Morgan Asset Management Company and three employees each received a Wells notice in July from the SEC's office in Atlanta, alerting them to prepare for future enforcement actions for possible violations of the federal securities laws. [read post]
5 Aug 2009, 6:57 am
In an unusual action, the company is asking a state court to overturn the rulings, angering lawyers for investors who say Morgan Keegan is prolonging their clients' trouble and expense. [read post]
3 Aug 2009, 9:38 am
Citigroup did it, followed by Morgan Stanley, UBS, Merrill Lynch, Wachovia, Bank of America (BofA) and, most recently, Morgan Keegan and Ameritrade. [read post]
31 Jul 2009, 2:22 pm
Regions Financial Corp., the parent company of Morgan Keegan, announced in early July it had received a Wells Notice from the SEC for possible violations of securities laws involving certain mutual funds. [read post]
26 Jul 2009, 7:42 pm
Morgan Keegan & Co., a unit of Regions Financial, Morgan Asset Management and three employees each received a “Wells” notice from the SEC, the company stated in an SEC filing by Regions on July 9. [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]
