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The Supreme Court decision in SEC v. Jarkesy held that Congress can't force regulated entities to defend themselves in the SEC's in-house court, but likely won't change much for the Public Finance Abuse Unit.
June 28 -
The use of unregistered municipal advisors in the public-private partnership sector can lead to unnecessarily expensive deals for cities and states, said SEC's Dave Sanchez.
June 11 -
Ex-IFS Securities head of fixed income Keith Wakefield committed criminal securities and wire fraud from 2017 to 2019, a federal jury in Illinois found.
February 8 -
Brandon Comer and his firm Comer Capital Group have to pay the sum as part of a final judgment reached in federal court in Illinois.
January 29 -
Capital Markets Advisors and its co-principals Richard Ganci and Richard Tortora are caught up in a legal back and forth with the SEC over how MSRB Rule G-42 on conflicts of interest applies to their case.
January 23 -
Bond Buyer Executive Editor Kyle Glazier discusses the coming year in D.C. with Bond Dealers of America's Brett Bolton. (15 minutes)
December 26 -
Vern Breland has agreed to pay a $35,000 fine and is permanently barred from participating in future municipal securities offerings.
November 22 -
"Nothing is off the table in terms of looking at who we can potentially charge," said Brian Fagel, assistant director of the SEC's Public Finance Abuse Unit.
October 20 -
The SEC's Examination Division will focus on solicitor municipal advisors' compliance with new MSRB Rule G-46, which goes into effect on Mar. 1, 2024.
October 17 -
Brandon Comer and his firm Comer Capital Group are in talks to settle the Securities and Exchange Commission charges against them ahead of a pretrial conference Nov. 17.
August 1