Corporate & Securities Law

Massachusetts Files Complaint Against UBS for Marketing of Auction Rate Securities
The Massachusetts Securities Division has filed a complaint against UBS Securities LLC and UBS Financial Services, alleging violations of the Massachusetts Uniform Securities in connection with the sale of auction rate securities (ARS) to retail customers...

UBS, You Are Pissed At Us
That's a line from a recent auction rate securities article at Registered Rep Magazine...

UBS Charged With Fraud in Auction Rate Securities
Last week, the Massachusetts Securities Commission filed administrative proceedings against UBS Financial alleging that it defrauded its investors (and its own brokers) in connection with its sales of auction rate securities...

When Did the Auction Rate Securities Market REALLY Collapse?
The prevailing wisdom holds that the market for auction rate securities (essentially long-term bonds that carry an interest rate that is reset through periodic auctions) froze up last February...

SEC Investigates Wachovia's ARS Practices
Wachovia disclosed that the SEC and other regulators are seeking information about the underwriting, sale, and auctions of municipal auction-rate securities and auction-rate preferred securities...

Auction Rate Securities -- Not Quite the Same as Cash.
By now you know (perhaps all too well) that countless investors who were told by their brokers that so-called Auction Rate Securities were "as liquid as cash" have seen that liquidity dry up...

House Closing
Sealing a home sale

Truth In Lending Act
Consumer Loans and Consumer Credit Protection Act

My house has bee sold at a sheriff sale the proceeds of the sale covered the first mortgage. Am i still required to pay the second mortgage?
You are indeed still responsible for the home loan that was not paid through the...

How to make a landlord honor an option to buy provision in the lease (OH)?
Most leases are written as a one year agreement, if neither party elects to form...

Is it possible to terminate a contract with a real estate brokerage?
First, the Realtor cannot force you to reduce your price. It probably does dissu...

Whether this advertisement is an offer or an invitation to treat?
Ask for your money back. If you dont get it call there customer support (if they...

My landlord can't afford the house I am renting, and is going to sell it or forclosure - ?
I am sorry about your situation. Unfortunately there is not much you can do. Rig...

Auction Rate Securities
ARS stocks purchased from a brokerage

Stock Market Losses
alleging bad financial advice and conflicts of interest.

Securities Settlement
GMH Trust Securities to pay $8.75 million in pending class action suit.

Capital One Faces Potential Class Action over Interest Rate Hikes
Capital One Faces Potential Class Action over Interest Rate Hikes

JP Morgan Chase & Co
Faces Lawsuit Over Hikes in Credit Card Interest Rate

Grubb & Ellis
alleging violations of fiduciary duties to shareholders and securities laws.