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Morgan Keegan

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  1. Raymond James, Morgan Keegan Conversion Completed

    Almost a year after Raymond James purchased Morgan Keegan , the integration has passed its last major milestone, which means the end of the venerable Morgan Keegan brand. The final integration will make Raymond James one of the largest brokerage firms behind the four wirehouses with almost 6,300 ...

  2. Morgan Keegan Trial Judge to Decide SEC Claims He Once Dismissed

    Morgan Keegan & Co. is going to trial before a judge whose decision to throw out regulators' claims the retail brokerage misled thousands of investors about the risks of auction-rate securities was reversed on appeal.

  3. Ex-Morgan Keegan Fund Directors Settle SEC Valuation Claims

    Eight former directors overseeing mutual funds for Morgan Keegan & Co. settled, without paying any penalties, U.S. regulatory claims that they allowed assets backed by subprime mortgages to be overvalued as the housing market collapsed in 2007.

  4. Ex-Morgan Keegan Fund Directors to Settle SEC Claims

    Eight former Morgan Keegan & Co. mutual-fund directors agreed to settle U.S. regulatory claims that they allowed assets backed by subprime mortgages to be overvalued as the housing market collapsed in 2007.

  5. Former Morgan Keegan Fund Directors Settle With SEC

    The Regions Morgan Keegan Funds were charged by the SEC with overstating the value of their securities as the housing market was collapsing in 2007.

  6. Raymond James Dropping Morgan Keegan Name

    Raymond James Financial plans to drop Morgan Keegan from the name of its fixed income arm later this month.

  7. Raymond James Retires Morgan Keegan Brand, as Tech Transition Ends

    Raymond James said Tuesday it had wrapped up the conversion of Morgan Keegan operations and clients into Raymond James’ technology systems.

  8. SEC Enforcement: Morgan Keegan Fund Directors Settle Over Botched Valuations

    Also in the SEC's crosshairs recently: A penny-stock promoter nabbed in an undercover FBI sting and two medical insurance execs accused of a Ponzi scheme.

  9. SEC Charges Former Morgan Keegan Directors

    The Securities and Exchange Commission has initiated cease-and-desist proceedings against the former board members of five registered investment firms, alleging that they failed to maintain appropriate fair-market valuations of debt securities that comprised a substantial portion of the companies' ...

  10. FINRA Enforcement Roundup: Morgan Keegan Censured, Fined Over Nontraditional ETFs

    Among recent FINRA enforcement actions were the censure, fine and order to pay restitution of a firm that charged its customers bogus markups.

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