九种能源服务公司（9）最近宣布，纽约证券交易所（NYSE）发现油田服务公司再次符合证券交易所的持续上市标准。
在纽约证券交易所（NYSE）在连续30个交易日内，纽约证券交易所（NYSE）在其普通股的股价下跌至1美元/股后，纽约证券交易所（NYSE）不到两个月就将其与该标准的违规行为通知。$ 1/股价是允许股票留在纽约证券交易所的最低每股收盘价。
金融业监管机构小组在其波多黎各债券欺诈案中判给五人521,000美元的赔偿金瑞银金融服务（UBS）波多黎各（UBS-PR）的UBS Financial Services Inc.。索赔人指控金融公司涉嫌证券欺诈，建设性欺诈，普通法欺诈，疏忽大使监督，违反信托义务以及违反《波多bob200体育黎各统一证券法》。
瑞银（UBS）一直是数百名FINRA仲裁索赔的主题，这些仲裁索赔由数千名投资者带来了波多黎各债券和封闭式债券的损失，许多UBS-PR客户辩称他们遭受了巨大的损失，因为这些投资不适当地推荐给他们。迄今为止，金融公司已被命令支付或同意向投资者支付数亿美元的定居点，但仍有更多索赔待定。
For over four years, our Puerto Rico bond fraud law firm has worked with investors on the island and the U.S. to help those investors recover their losses from losses in Puerto Rico securities. Contact Shepherd Smith Edwards and Kantas today to request your free, no obligation consultation.
Matthew Katke, formerly of Royal Bank of Scotland Group Plc (RBS) and Nomura Holdings (NMR) has pleaded guilty to conspiracy to commit securities fraud for his involvement in a multi-million dollar bond scam to bilk customers. As part of his deal he will cooperate with prosecutors into its investigation of mortgage-linked bonds and collateralized debt obligations.
Katke traded securities that were backed collateralized loan obligations, which are high-yield corporate debt. The charge is related to activities he engaged in while at RBS. Prosecutors say that Katke and co-conspirators made misrepresentations to get customers to pay prices that were inflated and sellers to say yes to deflated bond prices. The scam took place from around 2008 to June 2014.
Court documents say that Katke and co-conspirators sought to profits on bond trades through the false statements they gave customers. They misrepresented the prices that RBS had paid to get a bond or what it was asking to sell it. They also misled clients about whether a bond was from RBS’s inventory or a third party. RBS is cooperating with the probe.
根据The Wall Street Journal,Standard & Poor’s Ratings Services is close to arriving at abob200体育证券解决with regulators over the way they graded real-estate bonds. The agreement would resolve claims by the U.S. Securities and Exchange Commission, Massachusetts Attorney General Martha Coakley, and New York Attorney General Eric Schneiderman.
The proposed deal is over six commercial real estate bond ratings issued by the credit rater in 2011. In July of that year, S & P withdrew a preliminary rating on a $1.5 billion security comprised of commercial real-estate loans. The decision made debt issuers and investors very angry. (The deal was later partially overhauled and eventually went to market.)
S & P discovered discrepancies in the way its ratings methodology applied for commercial real estate deals. However, it said the incongruence was not outside what is considered an acceptable range. Still, investigators were compelled to look at the withdrawn rating and other deals from that period.
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