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This is the latest case to involve 'flipping' — improperly allocating bonds meant for retail customers and instead selling them to other market participants — following multiple related actions made by the SEC over the years.
July 21 -
To win a summary judgment, a party to a lawsuit must show that there is no factual dispute at issue and that the facts of the case can only support a finding in that party’s favor.
April 29 -
Charles Doraine settled with the Financial Industry Regulatory Authority on Monday without admitting or denying FINRA’s findings.
April 28 -
First Manhattan Co. bought municipal securities from an unaffiliated dealer without making a reasonable effort to obtain fair and reasonable prices, FINRA said.
March 25 -
The Lincoln-Way high school district won a Moody's upgrade to Baa2 ahead of a $23 million refinancing deal.
January 3 -
The investigation appears to be linked to the supervision of Deborah Kelley, a broker who was convicted and sanctioned for bribing a state pension fund officer.
December 31 -
The orders issued Dec. 23 bring to a close the Securities and Exchange Commission enforcement action against Navnoor Kang, Deborah Kelley and Gregg Schonhorn.
December 24 -
The Financial Industry Regulatory Authority found D.A. Davidson & Co. provided inaccurate pricing in issue price certificates.
December 6 -
The SEC brought four civil lawsuits and 10 stand-alone administrative proceedings, according to its annual report released Wednesday.
November 6 -
The Financial Industry Regulatory announced the action Wednesday, saying it stemmed from the firms' supervisory failures.
November 6