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SEC brings administrative action against Heartland Advisors for 2000 mispricing high-yield municipal bonds

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 25 2008

The SEC brought an administrative action against Heartland Advisors, Inc. (Heartland), a Wisconsin-based investment adviser, and several current and former employees of Heartland: William J. Nasgovitz, Thomas J. Conlin, Greg D. Winston, Paul T. Beste, Kevin D. Clark, Kenneth J. Della, and Hugh F. Denison, for negligently mispricing bonds owned by two high-yield municipal bond funds