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Municipal Advisor Enforcement Actions

July 9, 2024

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: Aug. 12, 2024