SEC enforcement

The SEC announced the settlement with former UBS broker Chris Rosenthal, the biggest yet from its ongoing flipping investigation.

Sen. John Kennedy blasted the Municipal Securities Rulemaking Board during a Senate Banking, Housing and Urban Affairs Committee meeting.

Richard Gounaud, accused by the SEC of participation in a muni bond "flipping" scheme, claimed the use of the slang term created unfair bias.

Todd Barker was one half of a duo the SEC said engaged in a $62 million fraudulent senior housing bond scheme.

The Mojave Desert city will soon be current on bonds that led the city to a bond fraud settlement with the SEC.

A federal court imposed an unusually stiff financial penalty and a lifetime ban against the already-jailed Christopher St. Lawrence.

Todd Barker appears prepared to have negotiated a monetary settlement with the SEC, while Dwayne Edwards plans to contest the SEC's motion in court.

Public finance cases represented 3% of the SEC's enforcement actions the past fiscal year.

Next month's event may also give attendees a rare chance to hear about muni issues directly from every commissioner.

The defense team accused the SEC of a "gross abuse of power."