Municipal Securities

This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain municipal securities offerings. Respondent, a registered ...

This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain municipal securities offerings. Respondent, a registered ...

This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain municipal securities offerings. Respondent, a registered ...

This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain municipal securities offerings. Respondent, a registered ...

This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain municipal securities offerings. Respondent, a registered ...

Virtually four months to the day from the Municipal Securities Rulemaking Board’s effective date for its new rule on best execution for municipal securities transactions, ...

The SEC announced actions against these firms: BB&T Securities; Comerica Securities; Commerce Bank Capital Markets Group; Country Club Bank; Crews & Associates; Duncan-Williams; Edward D. ...

This matter concerns misleading advertisements created by MCI, a New Hampshire-based registered investment adviser, and distributed by MCI and its then principal Mackensen in connection with ...

The SEC has now brought its first case against an underwriter for pricing-related fraud in the municipal securities primary market.  On August 13, the Commission ...

This matter concerns improper practices involving municipal securities by Wishman during her tenure as head of the municipal syndicate desk at Edward D. Jones & ...