SEC Scores Win In $119M Rochester, NY Muni Bond Suit

By Katryna Perera (April 15, 2024, 10:19 PM EDT) -- A New York federal judge on Monday granted an early win to the U.S. Securities and Exchange Commission on its claims against an advisory and its two principals who were involved in a $119 million bond offering by the city of Rochester, New York, saying the firm failed to disclose conflicts of interest present in its fee arrangements....

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