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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 | 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.

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