Tag Archives: municipal bonds

SEC Charges Municipal Issuer and the Underwriter and Outside Developer in Connection with a Bond Offering that Financed the Construction of a Regional Events Center and Ice Hockey Arena

Posted on November 5, 2013 by BraunHagey & Borden

In the Matter of the Greater Wenatchee Regional Events Center Public Facilities District, et al., Admin Proc. No. 3-156602; In the Matter of  Piper Jaffray & Co. and Jane Towery, Admin Proc. No. 3-15603.  On November 5, 2013, the SEC … Continue reading →

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SEC Charges the City of Harrisburg with Securities Fraud

Posted on May 7, 2013 by BraunHagey & Borden

In the Matter of the City of Harrisburg, Pennsylvania, Admin. Proc. File No. 3-15316.  On May 6, 2013, the SEC announced it filed a settled administrative proceeding against the City of Harrisburg.  The SEC’s Order finds that Harrisburg is virtually … Continue reading →

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SEC Sues the City of Victorville, California and Others for Defrauding Municipal Bond Investors

Posted on April 29, 2013 by BraunHagey & Borden

SEC v. City of Victorville et al., Case No. EDCV13-0776 JAK (DIBx).  On April 29, 2013, the SEC announced charges against the City of Victorville, Calif., the Southern California Logistics Airport Authority, Kinsell, Newcomb & DeDios (“KND”), Jeffrey Kinsell, Janees … Continue reading →

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SEC Charges Bruce Cole, Former CEO of Mamtek With Fraud in the Offer and Sale of Municipal Bonds

Posted on September 21, 2012 by BraunHagey & Borden

SEC v. Bruce Cole and Nanette Cole, Case No. CV 12-8024 ABC (SHx) (C.D. Cal.).  On September 18, 2012, the SEC announced fraud charges against Bruce Cole, the former CEO and chairman of Mamtek U.S.  The case concerns a fraud scheme … Continue reading →

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