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Dwayne Edwards and the entities he controlled are arguing the SEC’s arguments against them for fraud are based on inaccurate information.
April 5 -
The SEC has announced a settlement with an Arizona-based brokerage firm, its chief executive officer, and its former underwriter's counsel and head of investment banking over charges related to fraudulent municipal bond offerings related to Atlanta businessman Christopher Brogdon.
April 5 -
A new piece of bipartisan legislation introduced in the Senate today is aimed at allowing the SEC to increase fines for individuals and entities to better discourage future securities law violations
March 30 -
The Rhode Island Commerce Corp. and the Securities and Exchange Commission filed a joint motion in Rhode Island federal court on Wednesday asking the presiding judge to approve a final settlement over the RICC's involvement in a fraudulent private placement.
March 29 -
Investors with holdings in municipal conduit bonds that have been the subject of recent SEC enforcement actions over fraudulent commingling of assets are suing Bank of Oklahoma Financial, which served as the trustee for many of the faulty offerings.
March 28 -
Jay Clayton, the nominee to take over as SEC chair, told senators on Thursday that a focus on enforcement against individuals will be an important part of the SECs efforts to curb bad actors in the capital markets.
March 23 -
Amie Riggle Berlin, the SECs lawyer who handled its case against Miami and Michael Boudreaux, explained the important aspects of a reliance on professionals defense and the need for issuers to stay truthful in their offering documents during a conference panel.
March 17 -
The Justice Department said it does not intend to criminally charge New York Mayor Bill de Blasio or people fundraising on his behalf.
March 17 -
The SEC wants a Puerto Rico federal court to agree that Jose Ramirez, a former UBS Puerto Rico employee, engaged in a scheme to defraud investors in closed-end funds with large investments in Puerto Rico bonds.
March 14 -
Five firms have agreed to pay a total of nearly $920,000 to settle separate rule violations related to municipal securities.
March 13