Smiley Bishop & Porter LLP

Securities Arbitration & Business Litigation Attorneys

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Regions Morgan Keegan Bond Funds

March 10, 2011 by lmitchum

Smiley Bishop & Porter LLP has represented a number of individual and institutional investors who bought shares of Morgan Keegan’s RMK High Yield Bond Funds. RMK Funds were marketed as low risk investments, despite a high concentration in subprime mortgage-backed securities and collateralized debt obligations. A particular problem was that the funds invested in low […]

Filed Under: Current Investigations Tagged With: Collateralized Debt Obligations, FINRA, FINRA Arbitration, Investment Fraud Attorney, Morgan Keegan, SEC, Securities Arbitration Attorney, Securities Fraud Lawyer, Securities Law Firm, Securities Lawyers, Stock Fraud Attorney

East Tennessee Neurology P.C. Profit Sharing Plan v. Morgan Keegan & Company, Inc.

March 9, 2011 by lmitchum

Profit sharing plan recovery for losses on RMK Bond Funds (FINRA, 2010) Brian Smiley and Mike Bishop, along with co-counsel, represented the pension plan for a medical practice. The plan’s losses arose from investments solicited in three Regions Morgan Keegan Bond Funds (RMK High Income, RMK Strategic Income, and RMK Multi-Sector Funds). These funds took incredible […]

Filed Under: Winning Cases Tagged With: FINRA Arbitration, Investment Fraud Attorney, Morgan Keegan, Securities Arbitration Attorney, Securities Fraud Lawyer, Securities Law Firm, Securities Lawyers, Stock Fraud Attorney

Perkins and Powell v. Morgan Keegan & Company, Inc.

March 9, 2011 by lmitchum

Recovery for losses in RMK Bond Fund (FINRA, 2009) Brian Smiley, Mike Bishop, and our co-counsel obtained an award of full compensatory damages, attorneys’ fees, plus costs for two clients. The claim related to Regions Morgan Keegan’s Select Intermediate Bond Fund. In defending the case, Morgan Keegan used two expert witnesses, including a former chair of […]

Filed Under: Winning Cases Tagged With: FINRA Arbitration, Investment Fraud Attorney, Morgan Keegan, Securities Arbitration Attorney, Securities Fraud Lawyer, Securities Law Firm, Securities Lawyers, Stock Fraud Attorney

Auction Rate Securities

February 23, 2011 by lmitchum

Smiley Bishop & Porter LLP has represented clients with significant losses resulting from investments in Auction Rate Securities (ARS). These securities were sold by virtually every major Wall Street firm and were marketed as a highly liquid, safe investment equivalent to CDs or money markets, but with a higher interest rate. In reality, the auction market was […]

Filed Under: Current Investigations Tagged With: Auction Rate Securities, Bank of America, Citigroup, Investment Fraud Attorney, Lehman Brothers, Morgan Keegan, SEC, Securities Arbitration Attorney, Securities Fraud Lawyer, Securities Law Firm, Securities Lawyers, Stock Fraud Attorney, Wachovia

FINRA Blames Morgan Keegan, Not Brokers, For Hiding Risk

April 8, 2010 by lmitchum

FINRA Blames Morgan Keegan, Not Brokers, For Hiding Risk

Dow Jones quotes Brian Smiley on securities regulators’ charges against Morgan Keegan. Securities regulators’ actions against Morgan Keegan & Co. put its brokers in the same basic category as investors: duped.

Filed Under: SBP In The Press Tagged With: FINRA, FINRA Arbitration, Morgan Keegan, SEC, Securities Arbitration Attorney

Arbitrator Out of Work? Call FINRA

February 5, 2010 by lmitchum

Arbitrator Out of Work? Call FINRA

Wall Street Journal cites Brian Smiley on FINRA’s efforts to recruit arbitrators to handle Morgan Keegan claims. Wall Street needs an army of arbitrators to clean up the mess left by the headline-grabbing collapse of three mutual funds stuffed with collateralized debt obligations and other subprime-related securities.

Filed Under: SBP In The Press Tagged With: Collateralized Debt Obligations, FINRA, FINRA Arbitration, Morgan Keegan, Securities Fraud Lawyer

Selling Toxic Debt to Seniors

August 7, 2008 by lmitchum

Selling Toxic Debt to Seniors

Business Week quotes Brian Smiley on toxic debt in bond funds sold to seniors. The subprime securities that created carnage on Wall Street are bringing new pain to Main Street. Regulators in five states are investigating whether Memphis brokerage Morgan Keegan failed to disclose the risks of seven mutual funds stuffed with toxic debt and […]

Filed Under: SBP In The Press Tagged With: Collateralized Debt Obligations, Investment Fraud Attorney, Morgan Keegan, Stock Fraud Attorney

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