News & Analysis as of September 18, 2024

Investment › High Risk Financial Products

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Beyond 'Boring Bonds': SEC Settles with Former Executive Over Risky Investment Recommendations

Sherman & Howard L.L.C. on 1/9/2024

The Securities and Exchange Commission (SEC) has reached a settlement with the former head of the municipal bond desk at Aegis Capital Corporation (Aegis) Alan Appelbaum. The SEC alleged Appelbaum violated...more

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Investment › High Risk Financial Products

Beyond 'Boring Bonds': SEC Settles with Former Executive Over Risky Investment Recommendations

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