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Porter Wright Morris & Arthur LLP | USA | 20 Oct 2011
SEC announces $285 million settlement with Citigroup for misleading investors during financial crisis
On Wednesday, October 19, 2011, the SEC announced a settlement with Citigroup's principal U.S. broker-dealer, Citigroup Global Markets, Inc., who had been charged with misleading investors about a $1 billion collateralized debt obligation ("CDO") tied to the housing market.
Porter Wright Morris & Arthur LLP | USA | 28 Sep 2011
SEC brings a settled administrative proceeding against broker-dealer for selling unsuitable investments (notes tied to CDOs) to five Wisconsin school districts
The SEC announced on Tuesday, September 27 that it had filed a settled administrative proceeding against RBC Capital Markets LLC for misconduct relating to the sale of unsuitable investments (credit-linked notes that were tied to the performance of synthetic collateralized debt obligations or "CDOs") to five Wisconsin school districts.
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.
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.
Porter Wright Morris & Arthur LLP | USA | 1 Nov 2010
SEC action to halt fraudulent offering
The Commission brought an action against the two principals of Brewer Investment Group, LLC ("BIG"), a financial services holding company, and its related entities centered on an alleged fraudulent offering.