Posts Tagged ‘securities’

State receives settlement involving securities violation

JACKSON — Mississippi has received $34,070 in settlement funds from a state securities violation. Another multi-state investigation by the North American Securities Administrators Association (NASAA), of which includes Mississippi, found RBC Capital Market employees sold securities without properly registering with the Mississippi Secretary of State’s Office. “Registering investment advisors provides confidence to Mississippi citizens when […] [...]

State gets settlement funds from UBS for securities law violations

JACKSON — The state of Mississippi has received $60,302 in settlement funds after a multi-state investigation found UBS Financial Services violated state securities laws. Conducted by the North American Securities Administrators Association (NASAA), the investigation revealed several UBS employees sold securities without properly registering with the state. “UBS has acknowledged the need to modify its […] [...]

BancorpSouth redeeming trust preferred securities

TUPELO — BancorpSouth Inc. reports that BancorpSouth Capital Trust I expects to redeem all of its issued and outstanding 8.15 percent trust preferred securities within the next 60 days. The aggregate principal amount of the outstanding trust preferred securities is $125 million. The trust preferred securities are currently callable at the option of the Tupelo-based […] [...]

Hosemann urging investors to file claim for Morgan Keegan settlement

ACROSS MISSISSIPPI — Eligible investors face a June 16, 2012 deadline to file a claim for a portion of a multi-million dollar settlement with Morgan Keegan. Last June, Secretary of State Delbert Hosemann negotiated a settlement on behalf of investors who invested in certain Morgan Keegan bond funds. “These settlement funds will bring some relief […] [...]

Moody’s could face SEC probe

by Published: May 10,2010

Tags: investing, securities

NEW YORK — Moody’s may face an SEC investigation over its license application three years ago to be one listed as one of the recognized U.S. credit ratings agencies. The company did its own review of how it rated the risk in 2008 and found that it had erred in the way it rated some […] [...]

Recent Posts

Polls

How ready is your business for health care reform?

View Results

The MBJ poll should not be considered a scientific one. Results reflect only the opinion of those who participate.

Loading ... Loading ...

Recent Comments