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Article

Porter Wright Morris & Arthur LLP | USA | 5 Jun 2013

SEC issues investor alert for private oil & gas offerings

We previously blogged about securities regulation of interests in oil and gas exploration and development. Industry participants, state and federal

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 | 8 Nov 2011

SEC v. Citigroup: the commission responds to Judge Rakoff's questions and gives some insight into the settlement process

On Monday, November 7, 2011, the SEC filed its Brief in response to questions posed by the Court regarding the proposed settlement in SEC v. Citigroup, No. 11-cv-7387 (S.D.N.Y.).

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 | 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.

Article

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.

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