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Municipal Advisors (60)
Your search for Municipal Advisors returned 60 results.
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9/20/2018 | Content area: Broker-Dealer
This matter involves a failure to register as a municipal advisor and other improper conduct by Eric Hall & Associates, LLC (“EHA”) and its principal,...
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...
5/09/2018 | Content area: Broker-Dealer
These proceedings arise out of breaches of fiduciary duty by Barcelona, a municipal advisor based in Edinburg, Texas, and Hinojosa, Barcelona’s sole m...
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...
1/05/2018 | Content area: Broker-Dealer
Bingham of Roswell, Georgia, fraudulently overcharged Rolling Fork for municipal advisory services related to an October 2015 municipal bond offering....
11/14/2017 | Content area: Broker-Dealer
OCIE has released its 6th risk alert this year. The latest one doesn’t give municipal advisors a good compliance grade.   In Observations from Municip...
11/13/2017 | Content area: Investment Adviser
Municipal Advisors should take steps to educate themselves regarding their compliance obligations. Exam staff frequently observed deficiencies in MA c...
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...
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...
10/06/2016 | Content area: Broker-Dealer
The SEC, FINRA and the MRSB are partnering to offer a 90-minute webinar to municipal advisors on Nov. 10. The complimentary program is aimed at detail...
6/13/2016 | Content area: Broker-Dealer
In connection with the municipal advisor hiring process for five of SBCI’s school district clients, Keygent, Hsieh, and Wang improperly received confi...
3/17/2016 | Content area: Broker-Dealer
The SEC has brought its first-ever fiduciary duty case against a municipal advisor for failing to disclose a conflict of interest to a municipal clien...
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...
2/02/2016 | Content area: Broker-Dealer
This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain munic...
2/02/2016 | Content area: Broker-Dealer
This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain munic...
2/02/2016 | Content area: Broker-Dealer
This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain munic...
2/02/2016 | Content area: Broker-Dealer
This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain munic...
2/02/2016 | Content area: Broker-Dealer
This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain munic...
2/02/2016 | Content area: Broker-Dealer
This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain munic...


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