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Legal Representation for Investors Nationwide

Illiquid Securities Leave Investors Scrambling for Help

In the past few months, the market for Auction Rate Securities has virtually disappeared as major financial institutions stopped making a market in these securities. As a result, thousands of auctions for these types of securities have failed, and approximately $350 billion of auction rate securities, that were viewed by investors as cash equivalents, became illiquid. Investors in these securities have been unable to access their capital causing them a myriad of problems. including significant economic losses.

Most investors who purchased these securities did so because they told they were "cash equivalents" or "as safe as cash". These investors were misled about the safety of these of these securities and as a result many individuals and corporations put a significant portion of the cash in their portfolios in these investments. Unfortunately, neither the Financial Industry Regulatory Authority (FINRA) nor the Securities and Exchange Commission (SEC) are doing enough to hold help the investors who have been affected by these securities.

What are Auction Rate Securities?

Auction Rate Securities (ARS) are typically corporate bonds, municipal bonds or preferred stock that frequently reset their interest rates through a dutch auction. Auction Rate Securities are unlike traditional bonds that are issued with a fixed interest rate for the life of the bond or preferred stock that specifies the dividend rate for the life of the shares. Auction rate securities are commonly issued by municipalities, to fund projects like hospitals and museums, and corporations.

Free Legal Consultation

Mark & Associates, P.C. and Levin Papantonio Thomas Mitchell Echsner & Proctor, P.A have joined forces to aggressively represent individuals and corporations affected by the crisis surround auction rate securities. Investors can request a free, no obligation, case consultation by completing the inquiry form on this page or by calling 1-866-50-RIGHTS (1-866-507-4448).