News & Analysis as of

Personal Liability › Municipal Bonds

Proskauer - Corporate Defense and Disputes

SEC Sanctions Senior Executives Of Failed Clearing Broker

Proskauer - Corporate Defense and Disputes on

On September 17, 2015, the SEC announced charges against several senior executives of Penson Financial Services Inc., once the second-largest clearing broker-dealer in the country, and its parent corporation, Penson...more

Bracewell LLP

SEC Secures Federal Judge Order Against Mayor Based on Control Person Liability

Bracewell LLP on

On January 28, 2015, the United States District Court for the Eastern District of Michigan entered a final judgment against Gary Burtka, the former mayor of Allen Park, Michigan, upholding the Security and Exchange Commission...more

Bracewell LLP

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

Bracewell LLP on

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

Burr & Forman

SEC Ramps Up Municipal Enforcement

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The SEC continues to ramp up its Enforcement efforts in the municipal-securities realm. The agency announced a series of settled actions on November 6....more

Troutman Pepper

Public Officials, Financial Disclosure And A New Era Of Liability

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The Securities and Exchange Commission is making it clear: Government leaders who issue misleading financial information are putting themselves at risk. Several recent actions by the Securities and Exchange Commission...more

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