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MIL-OSI USA: SEC Charges Loop Capital Markets in First Action against Broker-Dealer for Violating Municipal Advisor Registration Rule

MIL-OSI USA: SEC Charges Loop Capital Markets in First Action against Broker-Dealer for Violating Municipal Advisor Registration Rule
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SEC charges broker-dealer in another first-of-its-kind case

The SEC has charged Chicago-based broker-dealer Loop Capital with providing advice to a municipal entity without registering as a municipal advisor ....

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SEC Accuses Rochester, RCSD of Investment Fraud | NewsRadio WHAM 1180

They allege documents related to the $119 million bond offering were outdated, and didn't mention the RCSD's $25 million budget shortfall and overall financial distress. ....

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SEC charges Rochester, New York, with fraud

The Securities and Exchange Commission has charged the City of Rochester, New York, its former finance director, former CFO and their municipal advisor with misleading investors in a $119 million bond offering. ....

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SEC says that the City of Rochester sold $119 million of bonds to investors without disclosing financial distress

The Security Exchange Commission charged Rochester, NY, and the city’s former Executives and Municipal Advisor with Misleading Investors on Tuesday. ....

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