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Without admitting or denying the findings, David Elgart of Sequoia Investments has agreed to a $20,000 fine and an 18-month suspension from association with any FINRA member firm for acting as an unregistered dealer.
January 5
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"The work done by our agency often focuses on the long-term," said Connecticut State Treasurer Erick Russell.
January 5
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Labor costs that continue to squeeze operating margins remain the biggest obstacle for the nonprofit healthcare sector.
January 5
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Moody's also affirmed the A1 rating on the authority's $3.2 billion of general revenue bonds and the A2 rating on the $2.5 billion of general revenue junior indebtedness obligations.
January 5
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Bonds used to buy eight senior living properties in Michigan and Ohio are likely to default within six months, S&P Global Ratings said.
January 4
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The muni market enters this year from a relative position of strength, said Jeff Lipton, managing director and head of municipal research and strategy at Oppenheimer.
January 4
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The Senate Committee on Homeland Security and Governmental Affairs unanimously passed the bill in October.
January 4
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Blaylock Van is bolstering its overall institutional capabilities and reaffirming its commitment to the muni market, said Leonard Jones, executive director of municipal banking and head of public finance, at the firm.
January 4
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The Municipal Securities Rulemaking Board is coming under fire from broker-dealer and municipal advisor groups for what those groups see as an opaque process.
January 4
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Musalem, an economist, is a former executive vice president of the Federal Reserve Bank of New York.
January 4
