Year: 2016

The SEC filed its second action tied to illegal tipping by brokerage firm registered representative Kevin Dowd. The first was SEC v. Dowd, Civil Action No. 3:13-cv-00494 (D. N.J. ) filed in January 2013. The second, filed yesterday, is SEC …

Tippee of Broker Resolves Insider Trading Charges with SEC Read More »

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Municipal bond offerings have become a key focus of SEC Enforcement. The agency has brought a series of actions in addition to an initiative that encourages the self-reporting of underwriters in return for reduced sanctions. The Commission’s most recent action, …

SEC Charges Municipal Bond Issuer, Broker With Fraud Read More »

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