Muni advisor's bid to end SEC's case against him fails
Brandon Comer said the SEC's case alleging breach of fiduciary duty against him lacks evidence, but a federal judge refused to end the case.
Source: bondbuyer.com
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SEC Division of Enforcement Director's Priorities
SEC Division of Enforcement Director Gurbir Grewal and other officials from the Attorney’s Offices for the Southern and Eastern Districts of New York and FBI spoke on SEC and DOJ enforcement. Director Grewal stated his mission is to restore public trust in the securities markets.
Source: natlawreview.com
SEC Highlights ESG Enforcement Activity In Annual Report - Securities
The SEC recently announced its yearly summary of enforcement activity. Among the items it chose to highlight were its efforts to enforce ESG-related issues.
Source: mondaq.com
Los Angeles County school official settles with SEC
Ruben James Rojas agreed to admit wrongdoing and pay a $50,000 fine after the Securities and Exchange Commission found that he misled bond investors in connection with a $100 million offering.
Source: bondbuyer.com
SEC's FY 2022 enforcement saw expansion
The Securities and Exchange Commission's FY 2022 results show the Commission filed 760 enforcement actions and recovered $6.4 billion in penalties and disgorgement, a 9% increase from FY 2021.
Source: bondbuyer.com