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Ex-IFS Securities head of fixed income Keith Wakefield committed criminal securities and wire fraud from 2017 to 2019, a federal jury in Illinois found.
February 8 -
Brandon Comer and his firm Comer Capital Group have to pay the sum as part of a final judgment reached in federal court in Illinois.
January 29 -
Capital Markets Advisors and its co-principals Richard Ganci and Richard Tortora are caught up in a legal back and forth with the SEC over how MSRB Rule G-42 on conflicts of interest applies to their case.
January 23 -
Bond Buyer Executive Editor Kyle Glazier discusses the coming year in D.C. with Bond Dealers of America's Brett Bolton. (15 minutes)
December 26 -
Vern Breland has agreed to pay a $35,000 fine and is permanently barred from participating in future municipal securities offerings.
November 22 -
"Nothing is off the table in terms of looking at who we can potentially charge," said Brian Fagel, assistant director of the SEC's Public Finance Abuse Unit.
October 20 -
The SEC's Examination Division will focus on solicitor municipal advisors' compliance with new MSRB Rule G-46, which goes into effect on Mar. 1, 2024.
October 17 -
Brandon Comer and his firm Comer Capital Group are in talks to settle the Securities and Exchange Commission charges against them ahead of a pretrial conference Nov. 17.
August 1 -
The SEC has settled with Robert Benecke and his firm Benecke Economics for acting as an unregistered MA in a case that is emblematic of the growing problem regulators and advisors alike face.
July 3 -
The exemption, which has been recently enforced by the Securities and Exchange Commission for the first time, will likely force some underwriters to opt out of it for fear of enforcement.
May 22