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SEC distributes $418 million to harmed investors in Invesco mutual funds

Sutherland Asbill & Brennan LLP
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USA
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January 8 2010

The SEC announced the Fair Fund distribution of approximately $418 million to more than one million investors who were affected by undisclosed market timing in certain Invesco mutual funds advised by Invesco Funds Group, Inc

Director of the Division of Investment Management speaks at the ICI 2009 Securities Law Developments Conference

Sutherland Asbill & Brennan LLP
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USA
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January 8 2010

Andrew J. Donohue, Director of the SEC’s Division of Investment Management, spoke at the Investment Company Institute (ICI) conference on risk management, the SEC’s accomplishments, and the Division’s “to do” list

Director of SEC Division of Enforcement speaks before the U.S. Senate Committee on the Judiciary concerning mortgage fraud, securities fraud, and the financial meltdown: prosecuting those responsible

Sutherland Asbill & Brennan LLP
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USA
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January 8 2010

Robert Khuzami, Director of the Division of Enforcement, spoke before the U.S. Committee on the Judiciary, along with colleagues from the U.S. Department of Justice (DOJ) and the Federal Bureau of Investigation

SEC issues order against Moises Pacheco

Sutherland Asbill & Brennan LLP
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USA
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January 8 2010

The SEC issued an order against Moises Pacheco based on the entry of a permanent injunction against Pacheco in the civil action entitled SEC v. Pacheco

SEC settles case against Ohio investment adviser who allegedly defrauded elderly clients

Sutherland Asbill & Brennan LLP
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USA
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January 8 2010

The Securities and Exchange Commission (SEC) announced that investment adviser (IA) Julie M. Jarvis, of Columbus, Ohio, and her financial advisory firm, Crossroads Financial Planning, Inc., have agreed to settle the SEC’s pending civil action against them

House passes enhanced SEC Enforcement Authority Act

Sutherland Asbill & Brennan LLP
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USA
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January 8 2010

The U.S. House of Representatives approved the Enhanced SEC Enforcement Authority Act, H.R. 2873, a bill that would enhance the SEC’s enforcement authority by allowing the SEC to compel the attendance of a witness at a hearing or trial anywhere in the United States

Attorney-Client Privilege Protection Act introduced

Sutherland Asbill & Brennan LLP
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USA
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January 8 2010

Congressman Robert C. Scott (D-VA-3) introduced the Attorney-Client Privilege Protection Act

SEC Chief Accountant speaks at 2009 AICPA National Conference

Sutherland Asbill & Brennan LLP
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USA
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January 8 2010

SEC Chief Accountant James L. Kroeker spoke at the American Institute of Certified Public Accountants (AICPA) National Conference

SEC publishes Select SEC and Market Data Fiscal 2009

Sutherland Asbill & Brennan LLP
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USA
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January 8 2010

The SEC posted a 27-page document titled Select SEC and Market Data Fiscal 2009, which covers the following topics

SEC consents to delay of indexed annuity rule effective date

Sutherland Asbill & Brennan LLP
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USA
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January 8 2010

The SEC filed a supplemental brief in the litigation challenging Rule 151A (which would require the registration of virtually all indexed annuities

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