Year: 2017

Municipal bond offerings have, in recent years, become a staple of SEC enforcement. While the Commission has limited authority in the area, a series of actions have been brought under the fraud provisions. Likewise, the Commission has conducted a very …

SEC Sanctions Muni Underwriter For Repeated Fraudulent Offerings Read More »

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The Commission has brought a series of settled cases in recent months centered on charges that advisory clients in wrap fee programs were not told the amount of “trading away” fees – additional fees incurred when a non-program broker was …

SEC Charges Credit Suisse With Overcharging Advisory Clients Read More »

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