Municipal Advisors

Hilltop failed reasonably to supervise the municipal securities activities of its registered representative to ensure compliance with MSRB rules and the federal securities laws. As ...

This form must be completed by municipal advisors that are organized entities, including sole proprietors (referred to herein as “municipal advisory firms” or “firms,” unless ...

This is the third municipal bond offerings case in four months

Roosevelt lacked policies and procedures reasonably designed to prevent and detect these violations by its registered representatives

Welsh placed orders for new issue municipal bonds with Dockside and Murphy to obtain bonds for Roosevelt’s inventory when he should have known that they, ...

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

UBS has taken a number of remedial steps, including reviewing and improving its retail order period policies and procedures, introducing retail order period training for ...

MSRB Rule G-17 provides in relevant part that, in the conduct of its municipal securities business, every broker-dealer shall deal fairly with all persons and ...