News & Analysis as of

Municipal Bonds Civil Monetary Penalty

Sherman & Howard L.L.C.

SEC Announces Antifraud Settlement Relating to School Board Audit

Sherman & Howard L.L.C. on

The Securities and Exchange Commission (SEC) announced the settlement of its fraud case against a New Orleans-based auditing firm and its principal. The firm and its principal were charged with violating antifraud securities...more

Bracewell LLP

SEC Charges Texas-Based Municipal Advisor with Fraud and Breach of Fiduciary Duty

Bracewell LLP on

On May 9, 2018, the U.S. Securities and Exchange Commission ("SEC") announced it charged a registered municipal advisor (the "MA Firm") and its owner (the "MA Owner") with defrauding their client, a Texas school district, in...more

Holland & Knight LLP

Port Authority of New York and New Jersey to Settle SEC Disclosure Law Violations - Agrees to Admit Wrongdoing and Pay Penalty for...

Holland & Knight LLP on

The U.S. Securities and Exchange Commission (SEC) announced on Jan. 10, 2017, that the Port Authority of New York and New Jersey (Port Authority) agreed to admit wrongdoing and pay a $400,000 penalty in connection with...more

McNees Wallace & Nurick LLC

SEC Announces Enforcement Actions Against 71 Municipal Issuers

The Securities and Exchange Commission (SEC) recently announced enforcement actions against 71 municipal issuers of bonds in connection with the Municipalities Continuing Disclosure Cooperation (MCDC) Initiative. The...more

4 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide