Year: 2014

The SEC’s nationwide review of municipal bond disclosures yielded another enforcement action, this time against the state of Kanas. The Order centers on claims that the state failed to disclose its huge unfunded pension liabilities. In the Matter of The …

SEC Brings Another Bond Case Against A State Read More »

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Following a four day jury trial the SEC prevailed, securing a favorable verdict on its claims against defendant Edward Hayter. See SEC Press Release (Aug. 8, 2014). The action centered on a microcap fraud, a key enforcement priority of the …

SEC Prevails in Pump and Dump Trial Read More »

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