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The case related to an attorney the firm used as a consultant in negotiations related to Puerto Rico's debt restructuring.
March 7
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Hilltop and other firms say more recent SEC off-channel communications settlements eliminated "costly and burdensome" requirements that were imposed on them.
February 10
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The SEC's muni office chief stopped short of saying there might be enforcement imminent.
January 28
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The agency's figures represent the most actions filed in their respective periods since at least 2000.
January 24
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The resolution marks the end of a yearslong lawsuit.
December 30 -
Silver Point says it has done nothing wrong, and has retained prominent legal figures for its defense.
December 20
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The Commission credits its work this year partially to the willingness of market participants to self report and cooperate with investigations.
November 26 -
The city faces no monetary penalty or monitorship in the final judgment in what those involved are calling an unprecedented move for SEC litigation.
October 17
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The SEC has charged Thrivent Investment Management for failing to comply with Regulation Best Interest's care and compliance obligation in connection with recommendations to retail investors in 529 Savings Plans.
October 3
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The U.S. District Court for the Southern District of California entered a final judgment against Matthias O'Meara and Choice Advisors, fining them $312,572 and $187,337, respectively.
October 2
