‘Enforcement 40’ for 2020
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By Securities Docket on November 11, 2014, 8:21 am
The municipal market should expect increased attention from the Securities and Exchange Commission’s enforcement division, with a focus on pension fund abuses and pay to play violations, and undisclosed conflicts of interest, the SEC’s top cop said Monday. via SEC s Top Cop: More Muni Enforcement, Not Less – The Bond Buyer
Posted in SEC, Top | Tagged Municipal bonds
By Securities Docket on March 11, 2013, 2:32 pm
Unusual SEC case unlikely to ruffle too many feathers in the Land of Lincoln.
Posted in SEC, Top | Tagged APs, Municipal bonds
By Securities Docket on December 26, 2011, 3:35 pm
SEC complaint alleges GE Funding CMS made improper, undisclosed payments to certain bidding agents.
Posted in SEC, Top | Tagged Financial Fraud, Municipal bonds