Have you been damaged as the result of investment fraud? Representation accepted on a contingent fee basis. » View Our New Client Questionnaire «

Arbitration Securities
and Investment Fraud Lawyers

Follow @stockfraudlaw

Guiliano Law Firm Securities Arbitration blog

SEC to settle ICP Asset Management CDO fraud case

Posted: August 9, 2012 @ 5:44 am - Securities News and Insight

The case, the first by the commission against a CDO collateral manager, is subject to U.S. Judge Lewis Kaplan's approval.
Read Full Story

Subscribe!
RSS Subscription

Investment Literature

The Hedge Fund Fraud Casebook (Wiley Finance)

North American Securities Administrators Association: Kansas, Securities, Uniform Securities Agent State Law Exam, Investment Fraud, Tax Advantage, Naked Short Selling

Recent Articles

Death Sentence for Chinese Woman Convicted of $70 Million Ponzi Scheme -

A Chinese woman who masterminded a $70 million Ponzi scheme has been

Hundreds Of Americans Rip Up Passports To Avoid FATCA -

A recent headline in IFC Review declared that hundreds of Americans were ripp...

Trolling for Dollars* -

This week’s spin of the Panel wheel landed imPaneled on a new proceedin...

Winston & Strawn Faces DQ Bid In Calif. City Bankruptcies - Citing an alleged conflict of interest, the California Public Employees’ R...

Hedge Fund Sues For Proxy Fight Rematch With Digirad - Hedge fund Red Oak Partners LLC sued Wednesday seeking to force a rematch in its...

SAC To Scale Back Cooperation With Insider Trading Probe - SAC Capital Advisors LLC reportedly informed its investors Friday that it was re...

JPMorgan Backs Dimon Before Shareholder Vote On Split Role - JPMorgan Chase & Co. on Thursday urged shareholders to reject a proposal by acti...

Investor Says Bain's $7B Bid For Software Co. Is Too Low - A pension fund that invests in Houston-based BMC Software Inc. on Thursday sued ...

Drug Co. Scores Partial Win In Suit Over Botched Offering - A Delaware judge on Thursday granted a partial win to Emmaus Life Sciences Inc. ...

Company Control Not Just About Share Count, Chancery Says - Vice Chancellor J. Travis Laster laid out a broad definition of “controlli...

Alternatives crackdown continues as Finra fines VSR - More pain for broker-dealers as Finra fines another alternatives specialist. One...

Fewer advisers than expected switch to state oversight - Back in 2009, regulators predicted that 4,000 investment advisers would shift fr...

Continental Ducks Shareholder Suit Over $313M Oil Asset Buy - An Oklahoma federal judge on Thursday dismissed a lawsuit accusing Continental R...

ING Gave Morgan Stanley Kickbacks For 401(k) Biz, Suit Says - An Alabama medical laboratory filed a proposed class action in New York federal ...

Credit Agricole Slams Lehman's $34M Terminated-Swaps Suit - Credit Agricole Corporate and Investment Bank on Friday urged a New York bankrup...

What's now and what's next for Morgan Stanley's new trade tool - Trade Flow Insights provides brokers with across-the-board product sales data an...

Rise Of The Machines — Predictive Coding Goes Mainstream - The pros of using predictive coding far outweigh the cons. Given the heavy press...

Ex-Broker Gets Probation For Muni Bond Bid-Rigging - After cooperating with a sweeping multistate investigation, the former CEO of a ...

Judge blocks $13 mln arbitration against SunTrust - The federal judge's ruling prevents hedge fund Turnberry Capital Management from...

Rakoff Gives Dexia's $774M JPMorgan MBS Suit 2nd Life - U.S. District Judge Jed S. Rakoff on Friday vacated an earlier decision dismissi...

Juniper Ducks Securities Suit Over Alleged Misstatements - A California federal judge on Friday threw out a putative class action brought a...

Ex-financial adviser gets probation for muni bid-rigging - The former chief of the now-defunct Kane Capital Strategies was sentenced to two...

Stockbroker Fraud Post – Brokers Back Away From Alternative Investments -

Many of stockbroker fraud cases we see involve alternative investments –...

Florida court rules state time limits apply to securities arbitration - The ruling in favor of Raymond James Financial could empower arbitrators to cut ...

Appeals court questions 'secret justice' in Delaware - Federal appeals court judges on Thursday questioned under what circumstances Del...

SAC Capital won't fully cooperate with government - letter - Steven A. Cohen's hedge fund wrote investors that it would no longer cooperate "...

Investor group calls on SEC to review change in JPMorgan voting - The request from pension and endowment managers came after a firm collecting bal...

Federal judge revives Dexia lawsuit vs JPMorgan over mortgage claims - Citing a recent federal appeals court decision, U.S. District Judge Jed Rakoff s...

Divided House passes SEC cost-benefit analysis bill - The vote, along party lines, was over a bill that would force federal securitie...

Charles Schwab Lifts Client Class Action Ban - Charles Schwab Corp. will drop its class action waiver for disputes going forwar...

FINRA Securities Arbitration
- Arbitration is Litigation
- The Securities Arbitration Process
- The Arbitrators
- Discovery
- Arbitration Awards

Latest Securities News
- Archive

Claims Against Brokers
- Suitability
- Misrepresentations and Omissions
- Mutual Fund Fraud
- Annuity Fraud
- Failure to Supervise
- Breach of Fiduciary Duty
- Unauthorized Trading
- Securities Of Financial Institutions

Investor Resources
- Check Your Broker
- Check Your Brokerage Firm
- Check Your Investment Advisor
- Investor Resource Links

Securities Arbitration Blog
- Archive
- Categories

Contact Us
- Online Contact Form
- Evaluation Process
- Frequently Asked Questions

About The Firm
- The Lawyers
- The Professional Staff
- The Green Initiative

Our Office Location(s):
230 South Broad Street
Suite 601
Philadelphia, Pennsylvania 19102

Telephone: (215) 413-8223
Telecopier/Fax: (215) 413-8223
Toll Free: (877) SEC-ATTY
Email: contact@securitiesarbitrations.com

Questions? Feedback?Olark live chat software