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The former head of the Internal Revenue Service's tax-exempt bond office says TEB is ignoring alleged violations on a financing for a Syracuse mall that benefited from breaks sought by Hillary Clinton.
October 20 -
Massachusetts Treasurer Deborah Goldberg has banned Wells Fargo from its list of approved underwriters for one year, citing the fake-accounts scandal,
October 18 -
R. Seelaus & Co., Carty & Co., and Emmet & Co. have agreed to pay a total of $83,000 to settle separate charges by the Financial Industry Regulatory Authority related to unfair markups, trading below the minimum denomination, and trade reporting failures involving municipal securities.
October 17 -
Miami agreed to pay $1 million to settle securities fraud charges after the city was found guilty by a local jury of playing a shell game to hide its deteriorating financial condition from bondholders.
October 14 -
The Securities and Exchange Commission enforcement divisions heightened attention on the municipal market and application of new legal techniques to that enforcement are here to stay, according to the commissions top cop, Andrew Ceresney.
October 14 -
The SEC's MCDC initiative is causing many municipal issuers and underwriters to change the way they do things.
October 12Lumesis Inc. -
A judge has agreed to put Peter Cannava back into a Securities and Exchange Commission lawsuit that alleges the Wells Fargo banker aided and abetted the defrauding of investors in connection with a private placement by 38 Studios.
October 11 -
Securities and Exchange Commission examinations of municipal advisors over the past two years found fiduciary duty and fair dealing violations, said SEC officials who cautioned the number of MA exams will increase in 2017.
October 7 -
The city of Miami will consider paying $1 million, as recommended by City Attorney Victoria Mendez, to settle a Securities and Exchange Commissions lawsuit.
October 5 -
Peter Cannava is fighting the Securities and Exchange Commissions attempt to put him back into its lawsuit over 38 Studios private placement by trying to amend the complaint to include more details about his alleged aiding and abetting the defrauding of investors.
October 3