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Securities and Exchange Commission v. Choice Advisors, LLC et al
Case Number:
3:21-cv-01669
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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April 16, 2024
SEC Gets Partial Win In Muni Adviser Disclosure-Rule Suit
A California federal judge has awarded a partial win to the U.S. Securities and Exchange Commission in its suit alleging a municipal adviser and one of its principals engaged in unlawful advisory activities with four charter school clients, saying "undisputed evidence" shows the defendants acted as advisers without the proper registrations, among other things.
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September 23, 2021
SEC Brings First Disclosure Rule Action Against Muni Adviser
The U.S. Securities and Exchange Commission on Thursday filed what it called a first-of-its-kind case against a municipal adviser and one of its principals in California federal court, alleging they unlawfully engaged in municipal advisory activities with four charter school clients.