WALL STREET FRAUDSTERS

This is a look at Wall Street fraudsters via excerpts from various U.S. government web sites such as the SEC, FDIC, DOJ, FBI and CFTC.

Showing posts with label MUNICIPAL SECURITIES. Show all posts
Showing posts with label MUNICIPAL SECURITIES. Show all posts
Tuesday, March 18, 2014

SEC ENCOURAGES ISSUERS, UNDERWRITERS OF MUNICIPAL SECURITIES TO SELF-REPORT VIOLATIONS OF SECURITIES LAWS

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FROM:  SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission announced a new cooperation initiative out of its Enforc...
Tuesday, August 2, 2011

SEC COMMISSIONER SPEAKS ON THE STATE OF THE MUNICIPAL SECURITIES MARKET

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The following speech is an except from the SEC website: "Speech by SEC Commissioner: Statement at SEC Field Hearing on the State o...
Tuesday, December 7, 2010

SEC CHARGED BANC OF AMERICA SECUITIES WITH SECURITIES FRAUD

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The following is a breaking story which alleged that Banc of America Securities committed fraud in it’s dealings with municipal bonds. BAS w...
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