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While she didn't work on muni issues specifically, Allison Lee is a seasoned buster of financial wrongdoers.
August 8 -
While the ruling wasn't a total victory for Wells Fargo or banker Peter Cannava, the court's decision grants them three more months of preparation in their fight against the SEC.
August 1 -
The 1.2-percentage point reduction will amount to $12,000 in saving on a $1 million tax settlement.
July 23 -
The audit could be part of an ongoing initiative by the IRS to examine refunding bonds, said a lawyer.
July 20 -
Will a lawsuit alleging a conspiracy in the VRDO market be dismissed early?
July 17 -
The Financial Industry Regulatory Authority has already barred Jose Ramirez from the securities industry, his lawyer said.
July 10 -
The SEC issued separate administrative orders Monday stripping Malachi Financial Products of its muni advisory registration and barring Porter Bingham from the industry.
July 9 -
Six straight treasurers want SEC chairman Jay Clayton to stay the course on the commission's forced arbitration policy.
July 3 -
Malachi Financial Products Inc. and its principal were charged with violating their fiduciary duty to a city in Mississippi, overcharging the city, and failing to disclose payments received from the underwriter.
July 2 -
After a bumpy but overall successful launch of markup disclosure, the muni industry looks ahead to regulatory scrutiny and finding ways to use the new data.
June 29