7 results found
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
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".
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.).
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 | 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.
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.
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.