Municipal Advisor Enforcement Actions
July 9, 2024
- SEC Charges Municipal Advisor with Failing to Register with the Commission (November 26, 2024) (charter school case)
- SEC Charges Municipal Advisor and its Managing Director with Failing to Timely and Fully Disclose Material Conflicts of Interest to Charter School Clients (October 24, 2024) (charter school case)
- SEC Obtains Final Judgment Against Municipal Advisor and its Co-Founder (September 30, 2024) (charter school case)
- SEC Charges Municipal Advisor with Failing to Register with the Commission (August 27, 2024) (charter school case)
- Federal Court Grants SEC Summary Judgment Over Claims That Municipal Advisor Breached Fiduciary Duties Owed to Its School Clients and Entered into Prohibited Fee-Splitting Arrangement (April 22, 2024) (charter school case)
- SEC Charges Municipal Advisor with Failing to Register with the Commission (June 30, 2023)
- SEC Obtains Final Judgment Against Municipal Advisor and Its Owner in Municipal Bond Offering Schemes (September 19, 2022)
- SEC Charges Loop Capital Markets in First Action against Broker-Dealer for Violating Municipal Advisor Registration Rule (September 14, 2022)
- SEC Charges Municipal Advisor and Broker to Charter Schools With Failing to Register With The Commission (September 9, 2022) (charter school case)
- SEC Charges Firm and Two Principals in First-Ever Actions Enforcing Rule on Duties of Municipal Advisors (September 23, 2021) (charter school case)
- SEC Charges Charter School Municipal Advisor with Failing to Register with the Commission (September 25, 2020) (charter school case)
- Municipal Advisor and Solicitors Charged with Registration Violations (July 16, 2019)
- SEC Bars Head of Unregistered Municipal Advisory Firm for Failing to Disclose Material Facts to School District (September 20, 2018)
- SEC: Muni Advisors Acted Deceptively With California School Districts (June 13, 2016)
Last Reviewed or Updated: Dec. 13, 2024