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This is the third municipal bond offerings case in four months
The suit is a bid to invalidate an order allowing MAs' to arrange private placements without registering as B-Ds
UBS circumvented the priority given to retail investors in certain muni bond offerings
Standards of conduct and fiduciary duty are featured on agenda
Municipal advisors will now have an additional 45 days to file Form MA updates
The disruptions resulting from COVID-19 mentioned above could hamper the efforts of municipal advisors to timely meet filing deadlines for annual updates to Form MA
Citing concern about potential conflicts of interest and inadequate training, FINRA has issued new guidance detailing when firms are obligated to register as municipal advisors. ...
School Services undertook the solicitation of municipal entities without being registered with the Commission. School Services’ emails and phone calls to school districts were “communications” ...
This matter involves a registered municipal advisor’s use of unregistered “solicitor” municipal advisors to solicit business from school districts in California. In 2010, Congress enacted ...
SEC Charges Municipal Advisor with Breaching Fiduciary Duty Litigation Release No. 24520 /June 27, 2019 Securities and Exchange Commission v. Comer Capital Group, LLC and ...
These proceedings involve a violation of the Municipal Securities Rulemaking Board’s (“MSRB”) “fair dealing” rule by Respondent in connection with a municipal bond offering. In ...
Rule 15Ba1-5 of the Exchange Act provides that a registered municipal advisor must promptly amend its SEC Form MA-I whenever any information becomes inaccurate for ...
This matter involves a failure to register as a municipal advisor and other improper conduct by Eric Hall & Associates, LLC (“EHA”) and its principal, ...
The Commission’s complaint alleged that Malachi and Bingham fraudulently overcharged the City of Rolling Fork, Mississippi by $33,000 in May 2015, in connection with providing ...
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 of ...
These proceedings arise out of breaches of fiduciary duty by Barcelona, a municipal advisor based in Edinburg, Texas, and Hinojosa, Barcelona’s sole member and associated ...
These proceedings arise out of certain improper gifts provided by Stovall to the president and owner of a registered municipal advisor in May 2015. Shortly ...
Bingham of Roswell, Georgia, fraudulently overcharged Rolling Fork for municipal advisory services related to an October 2015 municipal bond offering. Malachi is registered as a ...
Many of the deficiencies examiners found related to fundamental compliance duties
OCIE has released its 6th risk alert this year. The latest one doesn’t give municipal advisors a good compliance grade.   In Observations from Municipal ...
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