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  Category: Investor Protection


Moody’s Agrees to Settlement With States and Federal Government Over Securities Ratings

Date Posted: Friday, January 13th, 2017
Categories:  Consumer Protection Department of Justice DOJ Press Releases Fraud Investor Protection

States, USDOJ Alleged Moody’s Inflated Ratings and Contributed To Market Crash. Attorney General Matt Denn joined the U.S. Department of Justice and 20 other attorneys general in announcing a settlement resolving an investigation into Moody’s Corporation, Moody’s Investors Service, Inc., and Moody’s Analytics, Inc. (collectively “Moody’s”) over the companies’ misrepresentations regarding the independence and objectivity […]




Delaware Department of Justice Investor Protection Unit secures settlement with LPL Financial, LLC over Leveraged Exchange Traded Funds

Date Posted: Thursday, September 24th, 2015
Categories:  Department of Justice DOJ Press Releases Investor Protection

LPL will provide restitution to Delaware investors related to suitability and supervision violations Wilmington – Delaware Attorney General Matt Denn announced that LPL Financial, LLC (LPL) has finalized a settlement with the Delaware Attorney General’s Investor Protection Unit and the Massachusetts Attorney General’s Office to resolve an investigation into LPL’s use of Leveraged Exchange Traded […]




J.P. Morgan Securities to pay $51,400 to Biden’s Investor Protection Unit

Date Posted: Thursday, September 11th, 2014
Categories:  Consumer Protection Department of Justice Fraud Investor Protection

Attorney General Beau Biden announced Thursday that J.P. Morgan Securities has paid the Delaware Department of Justice $51,400 as a result of a settlement with the Attorney General’s Investor Protection Unit. The settlement resolves a multi-state investigation which found that J.P. Morgan Securities failed to ensure that its agents were properly registered in Delaware and other states, and failed to properly record data on trades executed in Delaware and other states.




Biden’s Investor Protection Unit Gauging Vulnerability to Cybersecurity Threats

Date Posted: Wednesday, September 10th, 2014
Categories:  Department of Justice DOJ Press Releases Fraud Investor Protection

Delaware’s Investor Protection Unit is participating in a nationwide project to gauge the strength of Delaware investment advisers’ cybersecurity systems. Delaware law requires investment firms to register with the state’s Investor Protection Unit, and that office recently sent surveys to 44 investment companies covering areas such as whether the investment adviser has experienced a cybersecurity event in the past year, experienced loss or theft because of a cybersecurity breach and when the adviser last underwent a cybersecurity threat assessment.




Biden’s insistence on accountability for mortgage crisis leads to $45 million for Delaware, millions more in financial benefits for Delawareans from Bank of America

Date Posted: Thursday, August 21st, 2014
Categories:  Department of Justice DOJ Press Releases Fraud Investor Protection

Biden has now secured at least $180 million from banks for conduct that caused mortgage crisis; Delaware is one of four states to participate directly in past three major settlements Wilmington – Bank of America has agreed to pay $45 million to Delaware and provide significant financial benefits to Delaware homeowners to settle allegations that […]




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