Municipal Advisors

These proceedings involve a violation of the Municipal Securities Rulemaking Board’s (“MSRB”) “fair dealing” rule by Respondent in connection with a municipal bond offering. In ...

Rule 15Ba1-5 of the Exchange Act provides that a registered municipal advisor must promptly amend its SEC Form MA-I whenever any information becomes inaccurate for ...

This matter involves a failure to register as a municipal advisor and other improper conduct by Eric Hall & Associates, LLC (“EHA”) and its principal, ...

The Commission’s complaint alleged that Malachi and Bingham fraudulently overcharged the City of Rolling Fork, Mississippi by $33,000 in May 2015, in connection with providing ...

The complaint also alleged that Bingham failed to disclose to the city that he had accepted payments totaling $2,500 from Anthony Stovall, an employee of ...

These proceedings arise out of breaches of fiduciary duty by Barcelona, a municipal advisor based in Edinburg, Texas, and Hinojosa, Barcelona’s sole member and associated ...

Bingham of Roswell, Georgia, fraudulently overcharged Rolling Fork for municipal advisory services related to an October 2015 municipal bond offering. Malachi is registered as a ...

These proceedings arise out of certain improper gifts provided by Stovall to the president and owner of a registered municipal advisor in May 2015. Shortly ...

Many of the deficiencies examiners found related to fundamental compliance duties

OCIE has released its 6th risk alert this year. The latest one doesn’t give municipal advisors a good compliance grade.   In Observations from Municipal ...