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The two-day trial in PHC’s antitrust lawsuit against Nuveen is set to begin unless the two sides reach a last-minute settlement.
July 26
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The firm opened its fifth California office by hiringbanker José Vera in Pasadena.
July 12
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The recorded conversations document Nuveen's efforts to choke off Preston Hollow's access to capital and block what it considered predatory lending practices.
July 2
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As Stephen Heaney retires from Stifel Financial, Betsy Kiehn is stepping up to a new capital markets position at the firm.
June 27
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The new Chicago mayor traveled to New York City this week for a series of "meet-and-greets" with political and financial players.
June 19
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The court put off a formal ruling for 10 days but made clear it expects to lift the confidentiality seal on bank transcripts with only limited redactions.
June 12
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On Wednesday, the SEC approved the final rule 3-1, with Commissioner Robert Jackson voting against the rule.
June 5
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The amended rules require dealers to disclose markups and markdowns as a total dollar amount and as a percentage of the prevailing market price to retail investors.
May 16
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Though some dealers endured a technological headache, the year-old rules have improved transparency without disrupting trading, the MSRB said.
May 14
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Kyle Javes will fill a new post at Piper Jaffray as the firm seeks to expand in specialty sectors.
May 2
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The veteran-majority owned firm has hired its first banker — Chicago-based Frank Paul.
May 1
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Bankers have until May 1 to submit their qualifications and their ideas to finance a $250 million expansion.
April 23
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The MSRB said Rule G-29 doesn't make sense anymore since the rulebook can be accessed online.
April 22
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On deck for the meeting scheduled for next week, the MSRB's Board of Directors will discuss pennying, upcoming EMMA enhancements and financial disclosure timeliness by issuers.
April 17
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A Chicago area broker-dealer agreed to pay a $25,000 to settle FINRA charges that it relied on alternative trading systems and failed to maintain its own risk-management controls.
March 25
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Underwriting, transaction and technology fees will be reduced during a six-month period.
March 15 -
The man behind the allegations of widespread VRDO fraud is Bjorn Johan Rosenberg.
March 8
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A large municipality with strong legal representation will draw attention, even from those skeptical of whistleblower suits alleging bank fraud in the variable-rate demand obligation market.
February 21
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The regulator clarified that dealers need not post bid-wanteds on multiple alternative trading systems.
February 7
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Formal allegations of fraud by banks in the pricing of variable rate debt obligations appeared in a fourth state.
February 7
