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The New York-based firm mismarked 90% of its municipal securities trades, FINRA found.
September 19 -
FINRA settled with two parties after they violated MSRB Rule G-17 by whiting out dates and failing to disclose a $2 million fee up until an issuance.
August 2 -
The Treasury and Internal Revenue Service sent the final regulation to the White House Office of Management and Budget over six weeks ago.
May 7 -
The audit concluded a year and one day after the sports authority received a letter dated April 4, 2018, informing it that the tax-exempt status of the bonds was being examined.
April 22 -
The firms are saying they shouldn't have to participate in the disclosure, which could lead to a clawback of bond payments.
April 12 -
A former municipal advisor accused of billing a city thousands of dollars for services it did not receive is now facing criminal fraud charges.
March 28 -
A Chicago area broker-dealer agreed to pay a $25,000 to settle FINRA charges that it relied on alternative trading systems and failed to maintain its own risk-management controls.
March 25 -
While associated with J.P. Morgan, a broker allegedly cheated on her Series 52 exam, violating FINRA Rule 2010.
March 19 -
Telley Meier, IRS field operations manager for the Indian Tribal Government/Tax Exempt Bonds office, advises bond attorneys to call the examination agent if they think an audit has been erroneously selected.
March 8 -
“Major banking organizations have now used this abusive tax shelter scheme to illegally shelter well over $1 billion in taxable income,” said the letter by W. Mark Scott.
February 15