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2 Apr 2015, 1:14 pm
He currently is registered with Nomura Securities International, Inc., also in New York, New York. [read post]
6 Jul 2015, 12:50 pm
On June 29, 2015, Justice Eileen Bransten of New York Supreme Court granted Goldman Sachs Group Inc. [read post]
8 May 2017, 1:42 pm
This settlement is in addition to the $79.3 million the NCUA also recovered from UBS in April 2016 for RMBS losses suffered by two other defunct credit unions. [read post]
26 Jun 2012, 4:15 pm
In Syncora Guarantee Inc. v. [read post]
3 Apr 2015, 3:52 pm
District Court for the Northern District of Illinois granted Standard & Poor’s Financial Services, LLC’s and Moody’s Investors Service, Inc. [read post]
28 May 2013, 12:32 pm
Turnberry had purchased the securities at issue from the brokerage firm Raymond James & Associates, Inc. [read post]
29 Apr 2014, 8:08 am
The court allowed claims alleging aiding and abetting by parent companies UBS and UBS Americas Inc. to proceed based on allegations that the defendants shared high-level personnel. [read post]
13 May 2013, 12:24 pm
On May 6, Judge Mariana Pfaelzer of the United States District Court for the Central District of California allowed American International Group, Inc. [read post]
24 Sep 2007, 12:35 am
Standard & Poor's (S & P), Fitch Ratings Inc., and Moody's Investors Service have all been contacted by the SEC and questioned about their procedures and policies on rating collateral debt obligations (CDOs) and residential mortgage-backed securities (RMBS). [read post]
13 May 2013, 12:22 pm
On May 7, New York’s First Department appellate court reinstated CIFG Assurance North America, Inc. [read post]
20 Mar 2015, 1:45 pm
Inc. et al., No. 2:11-cv-05887 (C.D. [read post]
21 Nov 2016, 2:25 pm
On November 14, 2016, plaintiff Federal Home Loan Bank of Boston (“FHLBB“) and defendants RBS Securities Inc., RBS Acceptance, Inc., RBS Financial Products, Inc., and RBS Holdings, USA (Inc.) [read post]
25 Jun 2018, 5:21 am
SEC Charges Merrill Lynch for Failure to Supervise RMBS TradersMerrill Lynch, Pierce, Fenner & Smith Inc. will pay more than $15 million to settle charges that its employees misled customers into overpaying for Residential Mortgage Backed Securities (RMBS). [read post]
23 Apr 2012, 10:16 am
No. 10-1045 (RMB/JS) (D. [read post]
27 Aug 2018, 12:19 pm
SEC Charges Moody’s With Internal Controls Failures and Ratings Symbols Deficiencies (SEC Release 2018-169)https://www.sec.gov/news/press-release/2018-169Without admitting or denying SEC charges, credit rating agency Moody’s Investors Service Inc. agreed to pay $15 million to settle charges of internal controls failures involving models it used in rating U.S. residential mortgage-backed securities (RMBS) and will retain an independent consultant to assess and improve its… [read post]
28 Jan 2015, 5:04 am
On February 3, 2015, the Department of Justice ("DOJ") and 19 states plus the District of Columbia announced a $1.375 billion settlement agreement with Standard & Poor’s Financial Services LLC, ("S&P") and its parent corporation McGraw Hill Financial Inc.. [read post]
29 Mar 2018, 3:25 am
Barclays Capital Inc. [read post]
19 Aug 2013, 2:29 pm
On August 13, the First Department of the Appellate Division of the Supreme Court of New York reversed a trial court decision denying Syncora Guarantee Inc. [read post]
21 Aug 2015, 2:02 pm
The proposed settlement would conclude lawsuits in which NECA and PFRS alleged that Goldman Sachs had made numerous misstatements about the loans underlying $6 billion in RMBS offerings. [read post]
25 Nov 2013, 12:26 pm
Department of Justice announced that JPMorgan Chase & Co. has agreed to pay $13 billion to settle a number of federal and state RMBS-related civil claims against JPMorgan and two institutions that JPMorgan acquired, Bear Stearns and Washington Mutual Inc. [read post]
