Defendant Name:
KeyBanc Capital Markets Inc.
Defendant Type:
Subsidiary of Public Company
Document Reference:
2016-18_Keybanc
Document Details
Legal Case Name
In the Matter of Keybanc Capital Markets, Inc.
Document Name
SEC Completes Muni-Underwriter Enforcement Sweep; 72 Firms Charged Since June 2015
Document Date
02-Feb-2016
Document Format
Administrative Proceeding
Allegation Type
Municipal Securities & Public Pensions
Document Summary
On February 2, 2016, the SEC announced "enforcement actions against 14 municipal underwriting firms for violations in municipal bond offerings. The actions conclude charges against underwriters under the Municipalities Continuing Disclosure Cooperation (MCDC) Initiative. In all, 72 underwriters have been charged under the voluntary self-reporting program targeting material misstatements and omissions in municipal bond offering documents".
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Compliance Related Independent Consultant
Self Reporting to SEC