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Tried a federal securities fraud case brought by the SEC, resulting in a judgment against a broker-dealer client of only 0.17% of the relief sought.

ClientNational broker-dealer
Region
Georgia
Description
Represented a national broker-dealer in a federal trial by the SEC arising from the firm’s underwriting, marketing, and sale of auction rate securities (ARS) from late 2007 through the implosion of the ARS market in February 2008. After a week-long bench trial, the U.S. District Court for the Northern District of Georgia entered an order awarding only 0.17% of the relief sought by the SEC.

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Sutherland Asbill & Brennan LLP is an international law firm helping the Fortune 100, industry leaders, sector innovators and business entrepreneurs solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

click to watch Videocast: DOL Fiduciary Rule Litigation Impacts
Videocast: DOL Fiduciary Rule Litigation Impacts
Atlanta, GA
Washington, DC
© 2017 Sutherland Asbill & Brennan LLP / Sutherland (Europe) LLP
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Experience - Tried a federal securities fraud case brought by the SEC, resulting in a judgment against a broker-dealer client of only 0.17% of the relief sought.
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