Thomas Moers Mayer

Thomas Moers Mayer

Herbert Smith Freehills Kramer

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Debt Dialogue: April 2017 - SEC Action Against Underwriter Illustrates Enforcement of Disclosure Violations in the Muni World

On April 5, as one of several enforcement actions relating to an alleged Ponzi scheme, the Securities and Exchange Commission settled an administrative enforcement action against a municipal bond underwriter accused of...more

5/4/2017  /  Disclosure Requirements , EMMA , Enforcement Actions , Financial Reporting , MSRB , Municipal Bonds , Rule 15c2-12 , Securities and Exchange Commission (SEC) , Securities Violations , Underwriting
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