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: Securities Law Prof Blog

Municipal Advisers Must Register with SEC by Oct. 1

By Securites Lawprof

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The SEC today announced that it has adopted a temporary rule requiring municipal advisors to register with the SEC by October 1, a deadline established by the Dodd-Frank Wall Street Reform and Consumer Protection Act. Municipal advisors can now access...

Full post as published by Securities Law Prof Blog on September 02, 2010 (boomark / email).

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Lawsuits and Settlements

Stockbrokers and Financial Advisers
alleging careless mistakes or intentional fraud.

Oppenheimer California Municipal Fund
OPCAX

Oppenheimer California Municipal Fund
401(k) / ERISA Stock Fraud

John Vermillion and Associates LLC et al.
allegedly misrepresented themselves as qualified financial advisers to sell living trusts and exploit senior citizens.

Transit Technicians Scam
Two Municipal Transportation Agency agree to pay $287,000 settlement for stealing money from fare boxes.

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