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Ex-Morgan Stanley branch manager Terry Lee McCoy failed to act on several "red flags" that the accounts of an elderly and incapacitated customer were being abused, FINRA said.
June 19
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There was friction about the integrity of the muni market during a panel discussion Thursday, but the committee agreed to move along with some disclosure recommendations.
June 14
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Navnoor Kang, a former director at the New York State Common Retirement Fund, wants home confinement rather than prison.
June 13
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The Government Finance Officers Association said Tuesday it generally supports most of the recommendations an SEC panel plans to discuss in Atlanta later this week.
June 12
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The SEC's Investor Advisory Committee's vice chairman is Elisse Walter, the former chairman and commissioner of the SEC who was most responsible for the commission's 2012 Report on the Municipal Securities Markets that suggested some of these muni reforms.
June 11
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A proposal by bank and securities regulators to roll back some provisions of the Volcker Rule indicates they may be considering rethinking their previous stance on tender option bonds.
June 6
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The muni industry's self regulator said issuers have found underwriters' disclosure letters to be too long, filled with boilerplate, and duplicative.
June 5
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Elad Roisman's main expertise is in equities, corporate debt, mergers, market structure and derivatives.
June 4
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Wells Fargo Securities and banker Peter Cannava are alleging the SEC was dishonest in crafting investors' statements and failed to turn them over to defense attorneys in the 38 Studios case.
June 4
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The past 10 years have seen major changes to the market, but analysts aren't sure they've been effective in preparing it for the next test.
May 31
