Page 4 - Sec Enforcement News Today

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.

Individuals, companies and firms involved the securities industry face litigation risks daily. From whistleblower lawsuits and SEC enforcement actions to Financial Industry Regulatory Authority arbitration, all types of securities litigation present risks for civil liability.

The U.S. Supreme Court signaled it may open a new avenue for companies and people to fight off complaints by the Securities and Exchange Commission and Federal Trade Commission.

The court is turning its anti-regulatory campaign toward the federal agencies that are scrutinizing Wall Street banks and seeking to break up Meta.

In a scathing opinion, Southern District of New York Judge Ronnie Abrams recently blasted the SEC's standard demand that defendants settling with the Commission agree never to deny...

On September 13, 2022 the Securities and Exchange Commission filed litigation against four separate municipal securities underwriters for failing to comply with municipal bond offering disclosure requirements.

Dave Sanchez urged local officials to be wary of certain structures that proved unprofitable during the last downturn.

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.

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.

Kardashian was paid $250,000 to post on her Instagram account about EMAX tokens, a crypto asset offered by EthereumMax.