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US Securities and Exchange Commission SEC announced filed suit against one broker-dealer underwriter and entered into settlements with broker-dealer underwriters in cases alleging underwriters violated limited offering exemption rules applicable to municipal bond offerings.
On September 13, 2022, the Securities and Exchange Commission (“SEC”) filed suit in the United States District Court for the Southern District of New York against an underwriter for...
In an unprecedented move, the Securities and Exchange Commission (the “SEC”) recently filed litigation against one underwriter of municipal securities and announced settlements with...
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.