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Hedge fund adviser charged with market timing involving variable annuity contracts

Sutherland Asbill & Brennan LLP
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USA
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February 8 2007

The SEC charged John M. Fife (Fife) and Clarion Management, LLC (Clarion Management) with engaging in a fraudulent scheme to purchase variable annuity contracts issued by the Lincoln National Life Insurance Company (Lincoln) for Clarion Capital, LP (Clarion Capital) in order to engage in market timing

Former Morgan Stanley financial advisors sued by SEC for illicit market-timing scheme

Sutherland Asbill & Brennan LLP
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USA
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December 18 2007

The SEC brought a suit against two former Morgan Stanley DW, Inc. (MSDW) financial advisors, Darryl A. Goldstein and Christopher O'Donnell, for allegedly engaging in a fraudulent market timing scheme

Adviser charged with fraud in connection with insured investment scheme

Sutherland Asbill & Brennan LLP
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USA
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December 27 2007

The SEC brought an administrative action against National Investment Advisors, Inc. (NIA) and its principal, Douglas A. Jimerson

U.S. Supreme Court limits secondary actors’ liability for securities fraud under Section 10(b) and Rule 10b-5

Sutherland Asbill & Brennan LLP
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USA
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January 16 2008

As widely reported, on January 15, 2008, the U.S. Supreme Court decided Stoneridge Investment Partners LLC v. Scientific-Atlanta, Inc., No. 06-43

Market timing charges brought against adviser (IA & MF)

Sutherland Asbill & Brennan LLP
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USA
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January 25 2008

The SEC brought an administrative action against Chronos Asset Management, Inc. and Mitchell L. Dong

Hedge funds enjoined for making misrepresentations to investors

Sutherland Asbill & Brennan LLP
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USA
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January 25 2008

The SEC filed an injunction against Coadum Advisors, Inc., Mansell Capital Partners III, LLC, James A. Jeffery, Thomas E. Repke, Coadum Capital Fund 1, LLC, Coadum Capital Fund II, LP, Coadum Capital Fund III, LP and Mansell Acquisition Company LP alleging that the persons and entities engaged in fraud in conjunction with a series of four securities offerings which began in early 2006

Identity theft initiatives announced (HF, IA & MF)

Sutherland Asbill & Brennan LLP
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USA
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May 10 2007

Attorney General Alberto R. Gonzales and Federal Trade Commission Chairman Deborah Platt Majoras have announced the completion of the President's Identity Theft Task Force strategic plan to combat identity theft

New anti-money laundering tool available

Sutherland Asbill & Brennan LLP
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USA
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May 10 2007

The SEC announced that a new compliance tool is available to assist with anti-money laundering (AML) compliance efforts by broker-dealers

Fraud charges brought against hedge fund adviser

Sutherland Asbill & Brennan LLP
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USA
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June 1 2007

The SEC brought administrative charges against Albert E. Parish, Jr., charging Parish with fraud in connection with the operations of a hedge fund

Zurich Capital Markets settles charges brought by the SEC for allegedly financing illegal market timing by hedge funds (MF)

Sutherland Asbill & Brennan LLP
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USA
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June 1 2007

Zurich Capital Markets Inc. ("ZCM") settled administrative charges brought by the SEC for allegedly financing illegal market timing by hedge funds

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