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
Source: bondbuyer.com
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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.
Source: bondbuyer.com
Former mayor charged by SEC denies wrongdoing
Vern Breland is representing himself, and told a court he relied on his municipal advisor.
Source: bondbuyer.com
Court weighs judgment request in SEC's case against muni advisor
The SEC is opposing municipal advisor Brandon Comer's request for a summary judgment in a case, where the Commission alleged Comer breached his fiduciary duty.
Source: bondbuyer.com
Court gives Harvey, Illinois more time to launch bond exchange
Officials are aiming by fall to finalize a bond exchange offer that would restructure general obligation bonds and resolve a legal dispute with bondholders.
Source: bondbuyer.com