Legal Eagle Review
SEC Issues Risk Alert on Strengthening Practices for Underwriting of Municipal Securities, and Investor Bulletin on Municipal Bonds
- Details
- Written by Justin Case
Washington, DC - The Securities and Exchange Commission today issued a Risk Alert on compliance measures to help broker-dealers fulfill their due-diligence duties when underwriting offerings of municipal securities. The agency also issued an Investor Bulletin to help educate investors about municipal bonds.
FBI Director Recognizes Distinguished Community Leaders
- Details
- Written by JC
Washington, DC - In a ceremony held today at FBI Headquarters, Director Robert S. Mueller, III recognized the recipients of the 2011 Director’s Community Leadership Award. These leaders, selected by their area FBI field offices, have made outstanding contributions to their local communities and demonstrated a commitment to improving the lives of their neighbors.
SEC Charges Senior Executives at California-Based Firm in Stock Lending Scheme
- Details
- Written by LER
Washington, DC - The Securities and Exchange Commission today charged two senior executives and their California-based firm with defrauding officers and directors at publicly-traded companies in an elaborate $8 million stock lending scheme.
SEC Charges Bay Area Investment Adviser for Defrauding Investors With Bogus Audit Report
- Details
- Written by SEC
Washington, DC - The Securities and Exchange Commission today charged a San Francisco-area investment adviser with defrauding investors by giving them a bogus audit report that embellished the financial performance of the fund in which they were investing.
SEC Charges Chicago-Based Management Consultant With Insider Trading
- Details
- Written by Legal Eagle Review
Washington, DC - The Securities and Exchange Commission today charged a Chicago-based management consultant with insider trading based on confidential information about his client’s impending takeover of a Long Island-based vitamin company.
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