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A PFM letter caused a firestorm among dealer groups who say that if municipal advisors want to engage in broker-dealer activities, they need to register as such.
June 24
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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 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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Abonamah will oversee the municipal securities office's strategic initiatives in his new role.
June 4
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The amended lawsuit references inside sources who allegedly confirm that the banks worked together in violation of antitrust law.
June 3
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The rule will take effect 30 days after publication in the Federal Register, which usually takes about three business days.
May 31
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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 -
State Treasurer Joe Torsella is accusing 14 financial firms of collaborating to illegally inflate the prices of Fannie Mae- and Freddie Mac-issued bonds.
May 24
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J.W. Korth & Co. was found to have charged excessive markups in 38 sales of municipal securities.
May 23
