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Article

Porter Wright Morris & Arthur LLP | USA | 10 Nov 2011

SEC announces division of enforcement statistics for the fiscal year: a record number of actions were filed

On Wednesday, November 9, 2011, the SEC issued a Press Release announcing that it had filed 735 enforcement actions in the fiscal year ending September 30, 2011, touting it as the "most enforcement actions filed in a single year".

Article

Porter Wright Morris & Arthur LLP | USA | 7 Jan 2011

This week in securities litigation (January 7, 2011)

To start the new year SEC enforcement partially settled a long running insider trading case.

Article

Porter Wright Morris & Arthur LLP | USA | 23 Nov 2010

This week in securities litigation (November 19, 2010)

The SEC and the New York Attorney General brought high profile actions in the on-going "pay to play" cases.

Article

Porter Wright Morris & Arthur LLP | USA | 18 Nov 2010

Altered records, lack of procedures yields sanctions

Altering compliance records prior to their production for an examination and inadequate procedures to control the flow of nonpublic information became the predicate for sanctions against a broker dealer, an investment adviser and the chief compliance officer of both.

Article

Porter Wright Morris & Arthur LLP | USA | 8 Nov 2010

This week in securities litigation (November 5, 2010)

Following the elections, Capital Hill is preparing for a significant shift.

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