-
Montebello Unified School District allegedly defrauded investors in the sale of $100 million in general obligation bonds.
September 19 -
The New York-based firm mismarked 90% of its municipal securities trades, FINRA found.
September 19 -
A new legal bulletin was requested by SEC Chair Jay Clayton after he observed lawyers noting that some platforms put financial disclosure under more scrutiny.
September 13 -
At a bond lawyer conference, lawyers said they've seen increased interest in self-reporting.
September 12 -
“The City of Harvey, through no fault of Comer’s and unrelated to Comer’s fiduciary obligations, tainted the district’s offering,” according to the defense.
September 12 -
Rich Moore takes over the top spot at NABL during the first day of a three-day annual conference in Chicago.
September 10 -
This is the second letter BDA has sent to the SEC in the last couple of months opposing any kind of relief for muni advisors involved in private placements.
September 10 -
The MSRB announced Monday that Post will be a “senior advisor” through the end of the month, when the board’s fiscal year ends.
September 9 -
Some say a case announced yesterday echoed one last year where traders allegedly lied to get priority in their orders for newly-issued bonds.
September 4 -
Thomas Muldoon should properly have placed his orders as dealer stock orders, the SEC found, but instead asked representatives to submit them as retail orders.
September 3