Showing posts with label MUNICIPAL BONDS. Show all posts
Showing posts with label MUNICIPAL BONDS. Show all posts
Wednesday, August 24, 2016

SEC ANNOUNCES CHARGES AGAINST 71 MUNICIPAL BOND ISSUERS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Charges 71 Municipal Issuers in Muni Bond Disclosure Initiative FOR IMMEDIATE RELEA...
Thursday, May 2, 2013

CITY, UNDERWRITER AND OTHERS CHARGED WITH FRAUD IN MUNICIPAL BOND SALES CASE

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION 　 SEC Charges City of Victorvile, Underwriter, and Others with Defrauding Municipal B...
Wednesday, January 9, 2013

FORMER FINANCIAL SERVICES BROKER SENTENCED TO SERVE

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FROM: U.S. JUSTICE DELPARTMENT   WASHINGTON — A former financial services broker was sentenced today in U.S. District Court for the S...
Monday, April 23, 2012

SEC CHARGES LOS ANGELES-BASED PERPETRATOR FOR MUNICIPAL BOND FRAUD SCHEME

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April 17, 2012 FROM:  SEC The Securities and Exchange Commission today announced that it has obtained an emergency court order to freeze t...
Thursday, January 5, 2012

BEVERLY HILLS FINANCIAL FIRM AND FOUNDER PLEAD GUILTY TO BID-RIGGING IN MUNI BOND MARKET

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The following excerpt is from the Department of Justice website: "WASHINGTON – A Beverly Hills, Calif.,-based financial product...
Sunday, April 3, 2011

BANK EMPLOYEE PLEADS GUILTY TO CONSPIRACY IN MUNICPAL BOND AND OTHER ASSEST TRADING

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The following case is an excerpt fromt he Department of Justice U.S. web site: "WASHINGTON —A former bank employee pleaded guilty tod...