Year: 2018

While the Commission has limited jurisdiction over municipal bonds it has, nevertheless, brought a series of actions in the area. For example, in 2016 the agency crafted a highly successful cooperation initiative, offering those involved in certain types of misconduct, …

SEC Charges Twenty-two With Fraudulent “Flipping” of Muni Bonds Read More »

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The Commission ended last week with the filing of a case against an issuer in the plant extract business and its controlling shareholder centered on the sale of unregistered shares to three individuals and errors in company filings about the …

Commission Files Two Unregistered Broker Cases Read More »

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