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Tag Archives: Mortgage Backed Securities
DOJ Announces $13 Billion Settlement with JPMorgan for Misleading Investors About Mortgage-Backed Securities
On November 19, 2013, the DOJ announced that it secured a $13 billion settlement with JPMorgan for misleading investors about securities containing toxic mortgages.
SEC Charges Subsidiary of the Royal Bank of Scotland with Fraud in Connection with Mortgage-Backed Security Offering
SEC v. RBS Securities, Inc., Case No. 3:13-cv-01643 (D. Conn.). On November 7, 2013, the SEC announced it filed settled fraud charges against RBS Securities Inc., a subsidiary of the Royal Bank of Scotland plc, in connection with a subprime … Continue reading
SEC Charges Bank of America with Fraud in Connection with Offering of Mortgage-Backed Securities
SEC v. Bank of America et al., Case No. 3:13-cv-447 AVC (W.D.N.C.). On August 6, 2013, the SEC announced fraud charges against Bank of America and two subsidiaries related to an offering of residential mortgage-backed securities (“RMBS”). According to the … Continue reading
SEC Brings Financial Crisis-Related Case against Jesse Litvak for Selling Mortgage-Backed Securities
SEC v. Jesse C. Litvak, Case No. 3:13-cv-00132 (D. Conn.). On January 28, 2013, the SEC announced fraud charges against Jesse Litvak, a former executive at broker-dealer Jeffries & Co. The SEC alleges that Litvak arranged trades for customers as … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, Mortgage Backed Securities, SEC, Securities Act, Securities Exchange Act
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SEC Settles With J.P Morgan For $296.9 Million Related to Mortgage-Backed Securities
SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I, Case No. 1:12-cv-01872 RLW(D.D.C.). On November 16, 2012, the … Continue reading
SEC Charges Mizuho Securities USA With Misleading Investors By Obtaining False Credit Ratings for Collateralized Debt Obligation.
SEC v. Mizuho Securities USA Inc., Case No. 12-cv-5550 (S.D.N.Y); In the Matter of Alexander V. Rekeda, Admin. Proc. No. 3-14953; In the Matter of Xavier Capdepon and Gwen Snorteland, Admin. Proc. No. 3-14954; In the Matter of Delaware Asset Advisers … Continue reading
Securities Enforcement Blog 