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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 | 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 | 28 Oct 2011

Judge Rakoff raises a number of questions about the proposed settlement between the SEC and Citigroup

On Thursday, October 27, 2011, New York federal Judge Jed Rakoff issued an Order in the SEC's case against Citigroup Global Markets, Inc., scheduling a hearing for November 9, 2011.

Article

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.

Article

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.

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