Sarah Wynn covers securities and infrastructure for the Washington bureau.
-
After getting national attention for allegedly swindling millions from a disabled billionaire client, brokers Ami Forte and Charles Lawrence have been barred from the industry.
By Sarah WynnOctober 21 -
Issuers will be looking to see what Securities and Exchange Commission Chair Jay Clayton says about disclosure.
By Sarah WynnOctober 18 -
The Securities and Exchange Commission issued a non-public letter to the city of Atlanta last week, prompting a possible investigation into its airport.
By Sarah WynnOctober 17 -
The dealer entered into two municipal bond orders into a recently deceased customer's account.
By Sarah WynnOctober 17 -
The Financial Industry Regulatory Authority's 2019 Report on Examination Findings, released Wednesday, discussed violations FINRA personnel discovered.
By Sarah WynnOctober 16 -
Years after the Securities and Exchange Commission enacted a rule to require floating net asset values, finance officers are fighting the legislative malaise to try to undo it.
By Sarah WynnOctober 16 -
The firm attached a corrective action statement detailing changes to its personnel, compliance department and municipal trading desk.
By Sarah WynnOctober 15 -
MSRB Chief Education Officer Ritta McLaughlin will be the fifth senior official to leave the MSRB in the last couple of months.
By Sarah WynnOctober 10 -
Though many participants were pleased with changes the Municipal Securities Rulemaking Board has proposed for its fair dealing guidance, some worried about new compliance expectations.
By Sarah WynnOctober 9 -
The Bond Dealers of America is forming an Affiliate Member Division to bring a lobbyist voice to smaller firms.
By Sarah WynnOctober 9