municipal bonds – SEC ACTIONS

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

Posted on August 24, 2017 by T. Gorman Posted in SECActions

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 …

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Tagged with: compliance, conflicts, misappropriation, municipal bonds, SEC

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

Posted on April 06, 2017 by T. Gorman Posted in SECActions

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. …

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Tagged with: municipal bonds, offering fraud, SEC, unregistered broker, wrap fees

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Tag: municipal bonds

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

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