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Former Sterlington mayor, others charged with misleading investors

The SEC charged Sterlington, Vern Breland and financial advisor Aaron Fletcher in connection with the sale of municipal bonds in 2017 and 2018.

United statesTown of sterlingtonAaronb fletcherWilliamp hicksM graham loomisSimone bilesLarry nassarVerna brelandExchange commissionLouisiana state bond commissionSpires financialAssociated pressAtlanta regional officeEnforcement division public finance abuse unitTwin spires financialTwin spires

SEC: San Francisco Regional Director Erin E Schneider To Leave Agency

<p><span>The Securities and Exchange Commission today announced that Erin E. Schneider, the Director of the San Francisco Regional Office since 2019, is leaving the agency after more than 17 years of service. Monique C. Winkler will become the office’s Acting Regional Director when Ms. Schneider departs at the end of this month.</span></p>

United statesSan franciscoErine schneiderGary genslerGurbir grewalMoniquec winklerExchange commissionIndiana universityVanderbilt university school of lawEnforcement division public finance abuse unitSan francisco regional officeActing regional directorSilicon valleyNorthern californiaAsset management unitAssistant director

Outlook 2022: SEC focused on disclosure and misconduct

Unregistered municipal advisor activity and breaches of fiduciary duty remain priorities.

United statesMichael botelhoLily beckerKelly spellacyPaula permenterCollege of new rochelleExchange commissionChoice advisorsEnforcement division public finance abuse unitAnn gauntPublic finance abuse unitLeeann gauntMunicipal securities rulemaking board ruleMunicipal securities rulemakingSec enforcementSecurities law

SEC files first-ever cases enforcing Rule G-42 against municipal advisors

SEC files first-ever cases enforcing Rule G-42 against municipal advisors
bondbuyer.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from bondbuyer.com Daily Mail and Mail on Sunday newspapers.

United statesSusan gaffneyMatthias omearaPaula permenterChoice advisorsExchange commission onEnforcement divisionNational association of municipal advisorsFinancial industry regulatory authorityUs district courtEnforcement division public finance abuse unitExchange commissionMunicipal securities rulemaking board ruleSouthern districtMatthiaso mearaAnn gaunt

SEC Charges Firm And Two Principals In First-Ever Actions Enforcing Rule On Duties Of Municipal Advisors

SEC Charges Firm And Two Principals In First-Ever Actions Enforcing Rule On Duties Of Municipal Advisors
mondovisione.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from mondovisione.com Daily Mail and Mail on Sunday newspapers.

United statesSheila ocallaghanJasonh leeJoseph chimientiWilliamt salzmannMatthias omearaPaula permenterExchange commissionChoice advisorsUs district courtEnforcement division public finance abuse unitMatthiaso mearaMunicipal securities rulemaking board rulePublic finance abuseSouthern districtPublic finance abuse unit