0001616795-22-000008.txt : 20221110 0001616795-22-000008.hdr.sgml : 20221110 20221110093809 ACCESSION NUMBER: 0001616795-22-000008 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 WOLFF,JON,GAYLAND, FILED AS OF DATE: 20221108 DATE AS OF CHANGE: 20221110 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Municipal Finance Services, Inc. CENTRAL INDEX KEY: 0001616795 IRS NUMBER: 731361775 STATE OF INCORPORATION: OK FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-02670 FILM NUMBER: 221375376 BUSINESS ADDRESS: STREET 1: 1017 NORTH BRYANT AVE. CITY: EDMOND STATE: OK ZIP: 73034 BUSINESS PHONE: 405-340-1727 MAIL ADDRESS: STREET 1: P.O. BOX 747 CITY: EDMOND STATE: OK ZIP: 73083-0747 MA-I/A 1 primary_doc.xml MA-I/A 0001616795 XXXXXXXX Glenn Green 973-618-9503 ggreen@alternativereg.com ggreen@alternativereg.com Y 0001616795-22-000004 N Jon Gayland Wolff 3222876 N 1 0001616795 Municipal Finance Services, Inc. 01-22-1999 N 867-00467 LOCATED SUPERVISED 11-01-2022 1017 North Bryant Ave. EDMOND OK 73034 01-1999 Municipal Finance Services, Inc. EDMOND OK 73034 Y Y Municipal Advisor N N N N N N N N N N Y N Y Y N N N N N N N N N N N Y N N N N N N N N N N N N N N N N N N N N N N N N N 11-08-2022 Kimberly McManus President of ARS Respondents were accused of violating their fiduciary duty by failing to call attention to, or further investigate or advise their client regarding amendments to the client's continuing disclosure agreements that were improperly prepared and implemented by Bond Counsel. Parties have consented to an administrative cease and desist order and associated sanctions as set forth in the order. 6C(2) 6C(4) 6C(5) 6C(6) Cease and Desist CivilAdminPenaltyFine Undertaking 06-15-2016 Administrative Proceeding File No. 3-18139 H0-13014 801 Cherry St, Suite 1900, Unit 18 (SEC) FORT WORTH TX 76102 Municipal Finance Services, Inc. 867-00467 Debt - Municipal Municipal Finance Services, Inc. and two of it's associated persons did not comply with their fiduciary duty to a municipal entity client related to the amendment of Continuing Disclosure Agreements by Bond Counsel, that respondents did not further investigate or advise their client with regard thereto. Cease and Desist CivilAdminPenaltyFine Undertaking 8000.00 8000.00 8000.00 8000.00 08-31-2017 Order Y 08-24-2017