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Former broker Deborah Kelley will pay $188,000 as part of her sentence after pleading guilty to taking part in a pay-to-play scheme involving New York pension fund business.
June 8 -
Christopher St. Lawrence is arguing that errors during his case should allow him an acquittal or new trial.
June 6 -
A federal jury found Christopher St. Lawrence, the former town supervisor of Ramapo, N.Y., guilty of criminal fraud.
May 22 -
In an IRS-driven exchange, a Florida jail operator will exchange tax-exempt bonds for taxable debt.
May 18 -
RBC Capital markets, along with Wedbush Securities and an individual reached settlements totaling $70,000 with FINRA.
May 12 -
Class action participants are arguing BOKF had conflicts of interest and failed to carry out duties.
May 10 -
The Iowa fertilizer project used more than $1 billion of private-activity borrowing.
April 21 -
J.W. Korth is appealing a FINRA panel finding that it charged customers excessive markups.
April 20 -
Bank of Oklahoma Financial wants a federal judge to throw out a class action that alleges the bank failed in its trustee role.
April 11 -
FINRA expanded its sanctions guidelines and suggested several penalties be more severe.
April 10