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Ruben James Rojas agreed to admit wrongdoing and pay a $50,000 fine after the Securities and Exchange Commission found that he misled bond investors in connection with a $100 million offering.
November 22 -
The Securities and Exchange Commission's FY 2022 results show the Commission filed 760 enforcement actions and recovered $6.4 billion in penalties and disgorgement, a 9% increase from FY 2021.
November 16 -
The City of Rochester, New York, and its former finance director appear set in fighting SEC charges that they defrauded investors in connection with a 2019 bond offering.
November 14 -
Dave Sanchez urged local officials to be wary of certain structures that proved unprofitable during the last downturn.
October 19 -
An audience poll during the National Association of Bond Lawyers' Workshop indicated that offering and disclosure fraud were among the highest concerns for the muni market.
October 13 -
Illinois-based broker dealer Ronald Molo has been fined $815,104 in disgorgement and prejudgment interest and has been permanently enjoined from participating in the issuance, purchase, offer or sale of any security.
October 11 -
Aaron Fletcher and his firm Twin Spires Financial have entered a final judgment with the Securities and Exchange Commission over their role in two allegedly fraudulent offerings and a failure to register as a municipal advisor.
September 22 -
The SEC has charged Chicago-based broker-dealer Loop Capital with providing advice to a municipal entity without registering as a municipal advisor
September 14 -
Municipal advisor Matthias O'Meara and his firm Choice Advisors' move to dismiss the SEC's first ever charges under MSRB Rule G-42 failed.
September 14 -
The SEC has charged Oppenheimer in a litigated action and settled with BNY Mellon, TD Securities and Jefferies for failing to comply with municipal bond disclosure requirements.
September 13