On January 17, 2017, the U.S. Court of Appeals for the D.C. Circuit vacated in part a Securities and Exchange Commission (SEC) order that imposed a collateral bar against Gregory Bartko, the former CEO and chief compliance...more
2/28/2017
/ Broker-Dealer ,
CEOs ,
Collateral Bars ,
Criminal Conspiracy ,
Criminal Convictions ,
Dodd-Frank ,
Enforcement Actions ,
Mail Fraud ,
Retroactive Application ,
Sanction Suspensions ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Unregistered Securities ,
Vacated
On June 13, 2016, the Securities and Exchange Commission (SEC) accepted the settlement offers made by two firms and three executives charged with using deceptive business practices in dealing with five school districts. As...more
7/22/2016
/ Bids ,
Cease and Desist ,
Civil Monetary Penalty ,
Confidential Information ,
Corporate Executives ,
Dodd-Frank ,
Enforcement Actions ,
Fiduciary Duty ,
Injunctive Relief ,
MSRB ,
Municipal Advisers ,
Rule G-17 ,
School Districts ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Settlement Offer ,
Unfair or Deceptive Trade Practices
Rule G-44, proposed earlier this year by the Municipal Securities Regulation Board (MSRB) and approved by the Securities and Exchange Commission (SEC) this month, requires that municipal advisors develop internal supervisory...more