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Municipal Securities (111)
Your search for Municipal Securities returned 111 results.
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3/20/2019 | Content area: Broker-Dealer
The SEC's complaint alleged, among other things, that Wells Fargo, which served as the placement agent for the 38 Studios bond offering, failed to dis...
3/15/2019 | Content area: Broker-Dealer
The SEC's complaint alleges that Walker improperly provided an unfair competitive advantage to one investment adviser due to his romantic interest in ...
12/18/2018 | Content area: Investment Adviser
These proceedings arise out of fraudulent conduct perpetrated by Chris Rosenthal, a former financial adviser with UBS Financial Services Inc. (“UBS”),...
8/27/2018 | Content area: Broker-Dealer
The Securities and Exchange Commission (“Commission” or “SEC”) is adopting amendments to the Municipal Securities Disclosure Rule (Rule 15c2-12) under...
8/23/2018 | Content area: Broker-Dealer
With the near $4 trillion municipal securities market ever increasing, the SEC has moved to further enhance transparency and timely access to importan...
8/14/2018 | Content area: Broker-Dealer
Morris had a long-standing relationship with Scherr and understood that Scherr operated a securities trading business known as “flipping” and was know...
7/09/2018 | Content area: Broker-Dealer
The Commission’s complaint alleged that Malachi and Bingham fraudulently overcharged the City of Rolling Fork, Mississippi by $33,000 in May 2015, in ...
7/02/2018 | Content area: Broker-Dealer
The complaint also alleged that Bingham failed to disclose to the city that he had accepted payments totaling $2,500 from Anthony Stovall, an employee...
1/05/2018 | Content area: Broker-Dealer
These proceedings arise out of certain improper gifts provided by Stovall to the president and owner of a registered municipal advisor in May 2015. Sh...
8/24/2017 | Content area: Investment Adviser | Broker-Dealer
The 2013 amendment failed to meet certain prerequisites expressly required by the City’s prior continuing disclosure agreements. Respondents failed to...
4/05/2017 | Content area: Broker-Dealer
Nevertheless, in 2013, LFC underwrote an additional five Brogdon Bond Offerings. Lynch again served as an investment banker and underwriter’s counsel ...
4/05/2017 | Content area: Broker-Dealer
Had LFC actually conducted due diligence on the material representations contained in the official statement, including conducting EMMA checks, LFC wo...
3/02/2017 | Content area: Broker-Dealer
The SEC has taken another step in its ongoing efforts to improve transparency in the municipal securities market. The Commission approved March 1 prop...
3/01/2017 | Content area: Broker-Dealer
The proposed amendments would amend the list of events for which notice is to be provided to include (i) incurrence of a financial obligation of the o...
3/01/2017 | Content area: Broker-Dealer
These event notices would facilitate timely access by investors and other market participants to important information about municipal issuers’ financ...
3/01/2017 | Content area: Broker-Dealer
Today’s proposal would take a step toward increased transparency. Specifically, it would update the rule with the aim of providing more timely inform...
8/25/2016 | Content area: Investment Adviser
I think it is worth asking whether the tax benefits of municipal bonds, which were presumably intended (at least in part) to incentivize investment in...
6/21/2016 | Content area: Broker-Dealer
These proceedings involve the sale of both non-investment grade or “junk” bonds, and unrated bonds by Feltl & Company, Inc. (“Feltl”), a registered br...
4/14/2016 | Content area: Investment Adviser
The SEC's complaint charges Ramapo, RLDC, St. Lawrence, Troodler, Klein, and Oberman with violations of Section 17(a) of the Securities Act of 1933 an...
3/15/2016 | Content area: Broker-Dealer
Detter and Malone were aware of the conflict posed by performing both municipal advisor services and underwriting services for the Offerings. For exam...


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