Enforcement

FINRA cases involved muni rule violations relating to minimum denominations and conflicts of interest.

Lawrence Wyllie, former superintendent of the Lincoln-Way Community High School District, faces criminal fraud charges.

Federal Reserve Bank of New York President William Dudley was investigated and cleared by an outside law firm for failing to disclose his half-sister’s position as an executive at Wells Fargo & Co., according to an annual disclosure filing.

The firm and its officials changed a city's existing disclosure agreement without telling investors.

The parties would have been more leniently treated if they reported failures under MCDC.

The Municipalities Continuing Disclosure Cooperation Initiative may have muddied some waters.

Questions have been raised about incentives provided to developer.

UBS' fine follows prior SEC action against the firm for minimum denomination violations.

Federal investigators are seeking to learn if the Related Group, Miami's biggest developer, lowered costs on an affordable-housing project by hiring subcontractors who failed to pay employment taxes, the Miami Herald has learned.

The U.S. Securities and Exchange Commission may take action against bankers from Barclays Plc and Morgan Stanley for their roles in Puerto Rico bond sales before a worsening fiscal crisis sent it hurtling toward bankruptcy.

Four firms paid a combined $102,500 to settle FINRA charges related to violations of MSRB gift and reporting rules.

The SEC under chair Jay Clayton will operate with two co-directors of enforcement, Stephanie Avakian and Steven Peikin, and at least one of them has experience with the municipal bond market.

Former broker Deborah Kelley will pay $188,000 as part of her sentence after pleading guilty to taking part in a pay-to-play scheme involving New York pension fund business.

Christopher St. Lawrence is arguing that errors during his case should allow him an acquittal or new trial.

A federal jury found Christopher St. Lawrence, the former town supervisor of Ramapo, N.Y., guilty of criminal fraud.

In an IRS-driven exchange, a Florida jail operator will exchange tax-exempt bonds for taxable debt.

RBC Capital markets, along with Wedbush Securities and an individual reached settlements totaling $70,000 with FINRA.

Class action participants are arguing BOKF had conflicts of interest and failed to carry out duties.

The Iowa fertilizer project used more than $1 billion of private-activity borrowing.

J.W. Korth is appealing a FINRA panel finding that it charged customers excessive markups.