Teri Guarnaccia

Ballard Spahr LLP

+ Follow Contact

Latest Posts › Securities Violations

Share:

SEC Brings First Charges Against Muni Market Underwriters Alleging Failure to Meet Requirements for Limited Offering Disclosure...

Summary - The Securities and Exchange Commission (SEC) recently announced enforcement proceedings against four municipal market underwriters for alleged violations of municipal bond disclosure requirements. Three of the...more

9/22/2022 / Disclosure Requirements , Enforcement Actions , Municipal Bonds , Securities and Exchange Commission (SEC) , Securities Violations , Underwriting

SEC Settles Charges Against Municipal Underwriter for Unfair Practices and Misleading Advertising in Connection With its...

Summary - The U.S. Securities and Exchange Commission (SEC) announced that it has settled charges against an underwriter, its owner, and chief compliance officer for violations of MSRB Rules G-21 on misleading advertising...more

1/15/2021 / Misleading Statements , MSRB , Rule G-17 , Securities and Exchange Commission (SEC) , Securities Violations

SEC Action on Misleading COVID-19 Disclosures: Implications for the Municipal Market

Summary - The U.S. Securities and Exchange Commission (SEC) announced earlier this month it settled charges against a corporate issuer of registered securities for misleading disclosures about the impact of the COVID-19...more

12/31/2020 / Coronavirus/COVID-19 , Enforcement Actions , Form 8-K , Misleading Statements , Securities and Exchange Commission (SEC) , Securities Violations

3 Results

View per page

Page: of 1