Tag: municipal bonds

The Commission filed actions against investment advisers or their associates this week involving: compliance issues tied to political intelligence regarding government agencies like CMS; another centered on the payment of excessive fees; and a third involving unauthorized transactions. Municipal securities …

This Week In Securities Litigation (Week ending August 25, 2017) Read More »

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The nomination of Jay Clayton as the next SEC Chairman moved forward in the Senate this week. The Senate Banking Committee approved Mr. Clayton by a vote of 15 to 8 with three Democrats joining the Republicans in the majority. …

This Week In Securities Litigation (Week ending April 7, 2017) Read More »

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