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Investor confusion about Harvey, Illinois, and a local library district contributed to a municipal advisor and broker-dealer facing Securities and Exchange Commission charges in a bond offering gone wrong.
June 28
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Investors are likely to lose millions whether the Atlanta-based financier continues under a court-appointed monitorship or not.
June 26
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Brogdon's high personal spending and failure to sell his assets spell an end to the usefulness of his repayment plan, the SEC told a federal judge.
June 21
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The new events became effective in late February, and hundreds of Event 15 disclosures have filed in, with just a handful of Event 16 filings.
June 20
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The judge ruled for Peter Cannava, who had denied wrongdoing even after Wells Fargo and other defendants settled charges.
June 12
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The Securities and Exchange Commission agreed to settle with Oyster Bay, New York, and are awaiting a district court judge's approval.
June 10
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The new money ordered Wednesday comes from the SEC’s settlement with Brogdon Family LLC (BFLLC), a separate legal entity controlled by the former nursing home developer.
June 6 -
On Wednesday, the SEC approved the final rule 3-1, with Commissioner Robert Jackson voting against the rule.
June 5
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Abonamah will oversee the municipal securities office's strategic initiatives in his new role.
June 4
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The financier's lawyers disputed a court-appointed monitor who had criticized him for maintaining an expensive lifestyle while his investors faced losses.
May 28
