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Municipal Securities

The syndicate desk allocated oversubscribed bonds to orders for flippers ahead of institutional customer and dealer orders. RBC failed reasonably to implement the WSPs it ...
New WSPs and P&Ps concerning municipal trading, sales, and underwriting implemented by Hilltop Securities
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 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 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 ...
Costas negligently submitted these inaccurate zip codes with Pinzon’s orders when he should have known that they did not correspond to Pinzon’s residence
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