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Massachusetts Securities Regulator Investigating Auction Rate Securities
According to Reuters, the Massachusetts Secretary of the Commonwealth is investigating the auction rate securities markets after reports that some closed-end funds were unable to sell their holdings. Bloomberg has reported recent refusals of broker-dealers to support sales have revealed the systematic problems inherent in a market lacking transparency.
SNSFE
continues to investigate abuses in the auction rate markets.
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Sponsored by James J. Eccleston, an attorney representing stockbrokers, financial planners and
investors nationwide in arbitration, litigation and regulatory matters, and a shareholder with the law firm
Shaheen, Novoselsky, Staat, Filipowski & Eccleston
P.C.(www.snsfe-law.com). This Web site contains material
of general interest. It is neither intended to, nor constitutes, either legal advice or investment advice.
Always consult an attorney and/or investment advisor when building and protecting your wealth.
All content Copyright © 2008 Advocate Capital Management, Inc. except where noted. All rights reserved.
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