Britt Cass Steckman

Britt Cass Steckman

Bracewell LLP

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Participation Not Required: SEC Charges Mayor as Control Person in Municipal Bond Offering

In an unprecedented exercise of its authority to charge municipal officials with “control person” liability, the Securities and Exchange Commission (SEC) recently announced fraud charges against the City of Allen Park,...more

11/11/2014  /  Enforcement Actions , Fraud , Joint and Several Liability , Materiality , Municipal Bonds , Municipalities , Personal Liability , Securities and Exchange Commission (SEC)

SEC Fraud Charges Against School District Demonstrate Increased Focus on Disclosure Compliance by Municipal Issuers

On July 29, 2013, the Securities and Exchange Commission announced that it had charged an Indiana school district and its underwriter with securities fraud for falsely stating in a 2007 offering document that the issuer was...more

8/1/2013  /  Disclosure Requirements , Fraud , Municipal Bonds , Municipalities , Public Schools , Section 10 of the Exchange Act , Securities Act of 1933 , Securities and Exchange Commission (SEC) , Securities Exchange Act , Underwriting
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