-
FINRA found that Gates Capital and three of its employees breached several MSRB rules, some related to role-switching from advisor to underwriter on the same transaction.
May 10 -
A muni advisor and his firm defrauded a school district in south Texas, lying to it to gain business and failing to disclose a conflict of interest.
May 9 -
Lombard Securities and McDonald Partners agreed to pay fines after FINRA examiners found various violations of MSRB rules, including supervisory failures and trade reporting deficiencies.
April 17 -
The proposed legislation formally allows certain but not all taxpayers to have access to their IRS audit case file prior to dispute resolution hearings, ending the requirement to file a request under the Freedom of Information Act.
April 11 -
Chicago suburb warns of "catastrophic” impact of state withholding funds.
April 11 -
An unsealed whistleblower lawsuit accuses eight Wall Street and regional banks and broker-dealers that served as remarketing agents of fraud and collusion in resetting rates for variable rate demand obligations issued by state and local issuers in Illinois.
April 10 -
The SEC wants a quick end to its case against former Ramapo, N.Y. town supervisor Christopher St. Lawrence, but St. Lawrence's lawyer wants a federal judge to proceed to trial.
April 3 -
The proposal would allow taxpayers to have access to their IRS audit case file prior to dispute resolution hearings, ending the requirement to file requests under the Freedom of Information Act.
March 29 -
Former broker Deborah Kelley could end up paying close to half a million dollars in fines, penalties, and restitution for her role in defrauding the New York State Common Retirement Fund.
March 29 -
The bonds were used to finance the acquisition and renovation of an assisted living facility in Alabama by Dwayne Edwards, who the SEC charged with fraud last year.
March 16