-
The Securities and Exchange Commission has charged State Street Bank and Trust Co., the former head of its public funds group, and a lawyer-lobbyist with securities fraud for making illicit payments and campaign contributions to obtain Ohio pension fund business worth millions.
January 14 -
Christopher Brogdon, facing Securities and Exchange Commission charges for defrauding investors in senior living facility financings, has been ordered by a federal court in New Jersey to create a plan to pay those investors.
January 8 -
Municipal market participants will once again see an active year for enforcement in 2016 as the Securities and Exchange Commission's self-reporting initiative largely wraps up and the enforcement division mixes a continued focus on pricing and market structure actions with potential new areas for enforcement like municipal advisors and bank loans.
December 28 -
An Alabama federal judge entered judgments approving settlements in the Securities and Exchange Commissions cases against former JPMorgan bankers Douglas MacFaddin and Charles LeCroy, who were accused of wrongdoing in the Jefferson County, Ala. sewer financings.
December 7 -
The FBI arrested 10 Puerto Rico officials and businessmen in a corruption probe, dealing a blow to the government as it looks to resolve its financial crisis.
December 3 -
Two former JPMorgan bankers have agreed not to violate securities laws and to repay money they made while working on transactions involving Jefferson County, Ala., Securities and Exchange Commission documents said Tuesday.
December 1 -
Three muni regulators and enforcement agencies are opening registration for a free compliance outreach program for municipal advisors that they plan to hold in Philadelphia on Wednesday, Feb 3, 2016.
December 1 -
Christopher Brogdon, the retirement home financier who is facing Securities and Exchange Commission charges, has denied being liable for a particularly problematic deal in new filings with a federal court in Georgia.
November 25 -
Municipal market participants want to know why it has taken securities regulators so long to stop Christopher Brogdon from swindling investors by misusing for personal gain the proceeds of bonds and private placements that were supposed to finance the purchase and renovation of senior living facilities.
November 23 -
The Securities and Exchange Commission has obtained an emergency freeze of the assets of an Atlanta-based businessman and filed a lawsuit charging him and his associates with fraud for misusing investor proceeds that were intended to be used to purchase and renovate senior living facilities.
November 20