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Officials from multiple regulators came together on Thursday for a detailed discussion about municipal advisory regulation.
October 8
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Erring on the side of caution and good documentation are key to managing conflicts of interest
October 7
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A firm and its two principals have been charged for an improper fee-splitting arrangement under the relatively new regulatory regime for municipal advisors.
September 23
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RBC and two muni managers settled charges of flipping bonds in the SEC's latest action targeting abuse of retail order periods.
September 17 -
The Securities and Exchange Commission settled with the Sweetwater Union High School District as well as former Chief Financial Officer Karen Michel.
September 16 -
The settled proceeding against Anthony Falsetta, announced Tuesday, is the latest in a string of SEC cases targeting violations of retail order periods.
August 31 -
The trouble stems from a West Virginia tender offer deal Crews & Associates recommended to an issuer.
August 26 -
Former Markham, Illinois, Mayor David Webb Jr. was accused of pocketing bribes for a project financed with bonds. He also pled guilty to criminal charges.
August 10 -
FirstEnergy will pay $230 million under a deferred prosecution agreement with federal authorities in the alleged pay-to-play that benefitted its former subsidiary FirstEnergy Solutions.
July 23
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Jose Ramirez says he doesn't recognize the criminal mastermind portrayed in the SEC's complaint against him.
June 11
