Municipal Advisors

This matter involves a registered municipal advisor’s use of unregistered “solicitor” municipal advisors to solicit business from school districts in California. In 2010, Congress enacted ...

School Services undertook the solicitation of municipal entities without being registered with the Commission. School Services’ emails and phone calls to school districts were “communications” ...

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 ...

SEC Charges Municipal Advisor with Breaching Fiduciary Duty Litigation Release No. 24520 /June 27, 2019 Securities and Exchange Commission v. Comer Capital Group, LLC and ...

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 ...