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Securities and Exchange Commission v. RMR Asset Management Company et al
Case Number:
3:18-cv-01895
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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August 17, 2020
SEC Defeats Settlement Holdouts In Muni Bond 'Flipping' Case
Three defendants who, unlike their 15 co-defendants, declined to settle with the U.S. Securities and Exchange Commission over allegations they posed as retail investors to buy and "flip" municipal bonds were defeated at the summary judgment phase in California federal court on Monday.
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August 14, 2018
SEC Strikes Deals In Municipal Bond 'Flipping' Scheme
Two companies allegedly posed as retail investors to buy municipal bonds, then illegally sold them at a profit to broker-dealers, according to lawsuits filed in Florida and California federal courts by the U.S. Securities and Exchange Commission on Tuesday, but the SEC said it had already settled with the majority of the scheme's alleged participants.