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SEC charges broker-dealer in another first-of-its-kind case

The SEC has charged Chicago-based broker-dealer Loop Capital with providing advice to a municipal entity without registering as a municipal advisor

United statesExchange commissionEnforcement division public finance abuse unitLoop capitalPublic finance abuse unitLeeann ghazil gauntEnforcement divisionPublic finance abuseAnn gauntFinance abuseExchange actWashington dcSec enforcementMsrb rules

MIL-OSI USA: SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law

MIL-OSI USA: SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law
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United statesLaura cunninghamGurbirs grewalWarren grethDevon starenJonathan wilcoxKevinb curridRebecca olsenSamir badalovBrian knightJasonh leeIvonia sladeSteve varholikDivision public finance abuse unitDivision of enforcementOppenheimer co

SEC charges four underwriters in first of its kind disclosure case

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.

Paul macoGary genslerGurbir grewalOffice of municipal securitiesDivision public finance abuse unitOffice of municipal securities ernesto lanzaDivision of enforcement gurbir grewalDivision of enforcementOppenheimer coExchange commissionOffering exemptionEnforcement division public finance abuse unitCapital marketsExchange actMunicipal securities rulemaking board ruleAbuse unit

SEC Accuses Rochester, RCSD of Investment Fraud | NewsRadio WHAM 1180

They allege documents related to the $119 million bond offering were outdated, and didn't mention the RCSD's $25 million budget shortfall and overall financial distress.

New yorkUnited statesCity of rochesterEugene hansenRichard ganciLaura cunninghamJames carlsonWarren grethJon wilcoxRebecca olsenIvonia sladeRichard tortoraEverton sewellExchange commissionUs district courtCapital markets advisors

SEC says that the City of Rochester sold $119 million of bonds to investors without disclosing financial distress

The Security Exchange Commission charged Rochester, NY, and the city’s former Executives and Municipal Advisor with Misleading Investors on Tuesday.

New yorkUnited statesEugene hansenLaura cunninghamJames carlsonIvonia sladeWarren grethJon wilcoxRebecca olsenUs district courtRochester city school districtEnforcement division public finance abuse unitLeeann ghazil gauntEnforcement divisionPublic finance abuseWestern district