Litigation
This Litigation Information Section is designed to assist the public in searching for information regarding frequently occurring litigation topics. The section is not an exhaustive list of all Commission enforcement actions relating to investment companies and investment advisers.
Check back frequently for new additions to the Litigation Information Section.
- § 9(a) of the '40 Act violation
-
Advertising/Performance/Social Media
- http://www.sec.gov/litigation/admin/2015/ia-4283.pdf
- http://www.sec.gov/litigation/admin/2015/34-76528.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4266.pdf
- http://www.sec.gov/litigation/admin/2015/33-9910.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4188.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4087.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4050.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23166.htm
- http://www.sec.gov/litigation/admin/2014/ia-3924.pdf
- http://sec.gov/litigation/admin/2013/34-69816.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3740.pdf
- http://www.sec.gov/litigation/admin/2013/34-69816.pdf
- Affiliated Transactions/Joint Transactions
- Allocation & Aggregation
- Allocation - Cherry-picking
-
Assets Under Management
- http://www.sec.gov/litigation/admin/2015/ia-4252.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4234.pdf
- http://www.sec.gov/litigation/admin/2015/33-9910.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4177.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4176.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4175.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23313.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23244.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23240.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23235.htm
- http://www.sec.gov/litigation/admin/2015/34-74608.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4050.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4027.pdf
- http://www.sec.gov/litigation/admin/2014/33-9665.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23126.htm
- http://www.sec.gov/litigation/admin/2014/34-73183.pdf
- http://www.sec.gov/litigation/admin/2014/33-9630.pdf
- http://www.sec.gov/litigation/admin/2014/33-9604.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3859.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3858.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr22988.htm
-
Best Execution
- http://www.sec.gov/litigation/admin/2015/ia-4126.pdf
- http://www.sec.gov/litigation/admin/2014/34-73678.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3924.pdf
- http://www.sec.gov/litigation/admin/2014/33-9597.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23017.htm
- http://www.sec.gov/litigation/admin/2014/ia-3762.pdf
- http://www.sec.gov/litigation/admin/2013/33-9446.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3637.pdf
- http://www.sec.gov/litigation/admin/2013/34-70083.pdf
-
Books & Records
- http://www.sec.gov/litigation/admin/2015/ia-4266.pdf
- http://www.sec.gov/litigation/admin/2015/34-76218.pdf
- http://www.sec.gov/litigation/admin/2015/34-74608.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4027.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23166.htm
- http://www.sec.gov/litigation/admin/2014/34-73350.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3939.pdf
- http://www.sec.gov/litigation/admin/2014/34-73183.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3919.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3855.pdf
- http://www.sec.gov/litigation/admin/2014/34-72058.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3740.pdf
- http://www.sec.gov/litigation/admin/2013/34-71069.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22888.htm
- http://www.sec.gov/litigation/admin/2013/ia-3725.pdf
- http://www.sec.gov/litigation/admin/2013/34-70297.pdf
- http://www.sec.gov/litigation/admin/2013/34-70058.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3636.pdf
- http://www.sec.gov/litigation/admin/2013/34-69973.pdf
- http://www.sec.gov/litigation/admin/2013/34-69971.pdf
- http://www.sec.gov/litigation/admin/2013/34-69969.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22743.htm
- Business Development Companies
-
Compliance Programs
- http://www.sec.gov/litigation/admin/2015/ia-4283.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4277.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4266.pdf
- http://www.sec.gov/litigation/admin/2015/34-76512.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4266.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4258.pdf
- http://www.sec.gov/litigation/admin/2015/34-76264.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4213.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4204.pdf
- http://www.sec.gov/litigation/admin/2015/33-9910.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4188.pdf
- http://www.sec.gov/litigation/admin/2015/34-75729.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4177.pdf
- http://www.sec.gov/litigation/admin/2015/33-9893.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4160.pdf
- http://www.sec.gov/litigation/admin/2015/34-75626.pdf
- http://www.sec.gov/litigation/admin/2015/34-75625.pdf
- http://www.sec.gov/alj/aljdec/2015/id851ce.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23308.htm
- http://www.sec.gov/litigation/admin/2015/34-75343.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4131.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4126.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4116.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23273.htm
- http://www.sec.gov/litigation/admin/2015/ia-4087.pdf
- http://www.sec.gov/litigation/admin/2015/34-74828.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4065.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4063.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4050.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4049.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4027.pdf
- http://www.sec.gov/litigation/admin/2015/ic-31455.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4004.pdf
- http://www.sec.gov/litigation/admin/2015/ia-3993.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23166.htm
- http://www.sec.gov/litigation/admin/2014/34-73652.pdf
- http://www.sec.gov/litigation/admin/2014/33-9667.pdf
- http://www.sec.gov/litigation/admin/2014/34-73350.pdf
- http://www.sec.gov/litigation/admin/2014/34-73183.pdf
- http://www.sec.gov/litigation/admin/2014/34-73175.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3927.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3924.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3920.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3919.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3906.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23066.htm
- http://www.sec.gov/litigation/admin/2014/34-72635.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3855.pdf
- http://www.sec.gov/litigation/admin/2014/33-9597.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23017.htm
- http://www.sec.gov/litigation/admin/2014/34-72058.pdf
- http://www.sec.gov/litigation/admin/2014/34-71850.pdf
- http://www.sec.gov/litigation/admin/2014/33-9521.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3763.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3762.pdf
- http://www.sec.gov/litigation/admin/2013/34-71069.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3725.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3727.pdf
- http://www.sec.gov/litigation/admin/2013/34-70944.pdf
- http://www.sec.gov/litigation/admin/2013/34-70297.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3655.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3654.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3637.pdf
- http://www.sec.gov/litigation/admin/2013/34-70083.pdf
- http://www.sec.gov/litigation/admin/2013/34-69680.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3611.pdf
-
Conflicts of Interest
- http://www.sec.gov/litigation/admin/2015/ia-4276.pdf
- http://www.sec.gov/litigation/admin/2015/34-76435.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4264.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4257.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4253.pdf
- http://www.sec.gov/litigation/admin/2015/34-76287.pdf
- http://www.sec.gov/litigation/admin/2015/34-76264.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4219.pdf
- http://www.sec.gov/litigation/admin/2015/34-76058.pdf
- http://www.sec.gov/litigation/admin/2015/33-9913.pdf
- http://www.sec.gov/litigation/admin/2015/34-75814.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23370.htm
- http://www.sec.gov/litigation/admin/2015/ia-4146.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4126.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23294.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23288.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23276.htm
- http://www.sec.gov/litigation/admin/2015/ia-4065.pdf
- http://www.sec.gov/litigation/admin/2014/ia-4053.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4049.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4044.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4000.pdf
- http://www.sec.gov/litigation/admin/2015/34-74089.pdf
- http://www.sec.gov/litigation/admin/2015/34-74070.pdf
- http://www.sec.gov/litigation/admin/2015/ia-3993.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23155.htm
- http://www.sec.gov/litigation/admin/2014/34-73678.pdf
- http://www.sec.gov/litigation/admin/2014/34-73206.pdf
- http://www.sec.gov/litigation/admin/2014/34-72950.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3906.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3904.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23066.htm
- http://www.sec.gov/litigation/admin/2014/34-72635.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3856.pdf
- http://www.sec.gov/litigation/admin/2014/33-9599.pdf
- http://www.sec.gov/litigation/admin/2014/33-9597.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23017.htm
- http://www.sec.gov/litigation/admin/2014/33-9575.pdf
- http://www.sec.gov/litigation/admin/2014/34-71757.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr22983.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22949.htm
- http://www.sec.gov/litigation/admin/2014/ia-3751.pdf
- http://www.sec.gov/litigation/admin/2013/34-70938.pdf
- Cross Trades
-
Custody - IA
- http://www.sec.gov/litigation/admin/2015/ia-4274.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4273.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23370.htm
- http://www.sec.gov/litigation/admin/2015/ia-4160.pdf
- http://www.sec.gov/litigation/admin/2015/34-75627.pdf
- http://www.sec.gov/litigation/admin/2015/34-75626.pdf
- http://www.sec.gov/litigation/admin/2015/34-75625.pdf
- http://www.sec.gov/litigation/admin/2015/34-75298.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23275.htm
- http://www.sec.gov/litigation/admin/2015/34-74828.pdf
- http://www.sec.gov/litigation/admin/2015/34-74827.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23246.htm
- http://www.sec.gov/litigation/admin/2015/ic-31455.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3991.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3960.pdf
- http://www.sec.gov/litigation/admin/2014/33-9667.pdf
- http://www.sec.gov/litigation/admin/2014/34-73183.pdf
- http://www.sec.gov/litigation/admin/2014/34-72635.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23034.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22985.htm
- http://www.sec.gov/litigation/admin/2014/33-9575.pdf
- http://www.sec.gov/litigation/admin/2013/34-71070.pdf
- http://www.sec.gov/litigation/admin/2013/34-71069.pdf
- http://www.sec.gov/litigation/admin/2013/34-70944.pdf
- http://www.sec.gov/litigation/admin/2013/34-70058.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3636.pdf
- Derivatives
- Directors
- Distribution & 12b-1 Fees
- Exempt Reporting Advisers
-
Failure to Supervise
- http://www.sec.gov/litigation/admin/2015/33-9964.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4213.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4116.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3919.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3855.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23017.htm
- http://www.sec.gov/litigation/admin/2014/34-72058.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3762.pdf
- http://www.sec.gov/litigation/admin/2013/34-70058.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3636.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3634.pdf
-
Fiduciary Duty
- http://www.sec.gov/litigation/admin/2015/ia-4277.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4276.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4259.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4258.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4257.pdf
- http://www.sec.gov/litigation/admin/2015/33-9976.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4253.pdf
- http://www.sec.gov/litigation/admin/2015/34-76304.pdf
- http://www.sec.gov/litigation/admin/2015/34-76287.pdf
- http://www.sec.gov/litigation/admin/2015/34-76280.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4244.pdf
- http://www.sec.gov/litigation/admin/2015/34-76243.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4234.pdf
- http://www.sec.gov/litigation/admin/2015/33-9964.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4219.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4218.pdf
- http://www.sec.gov/litigation/admin/2015/34-76079.pdf
- http://www.sec.gov/litigation/admin/2015/34-76058.pdf
- http://www.sec.gov/litigation/admin/2015/33-9925.pdf
- http://www.sec.gov/litigation/admin/2015/33-9913.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4189.pdf
- http://www.sec.gov/litigation/admin/2015/34-75814.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23370.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23366.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23360.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23334.htm
- http://www.sec.gov/litigation/admin/2015/ia-4135.pdf
- http://www.sec.gov/litigation/admin/2015/34-75319.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4131.pdf
- http://www.sec.gov/litigation/admin/2015/33-9789.pdf
- http://www.sec.gov/litigation/admin/2015/33-9771.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4095.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4093.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4081.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23260.htm
- http://www.sec.gov/litigation/admin/2015/34-74828.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4070.pdf
- http://www.sec.gov/litigation/admin/2015/33-9752.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4063.pdf
- http://www.sec.gov/litigation/admin/2014/ia-4053.pdf
- http://www.sec.gov/litigation/admin/2015/33-9737.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4009.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23176.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23172.htm
- http://www.sec.gov/litigation/admin/2014/33-9687.pdf
- http://www.sec.gov/litigation/admin/2014/33-9686.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23155.htm
- http://www.sec.gov/litigation/admin/2014/34-73678.pdf
- http://www.sec.gov/litigation/admin/2014/33-9667.pdf
- http://www.sec.gov/litigation/admin/2014/33-9660.pdf
- http://www.sec.gov/litigation/admin/2014/34-73206.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3927.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3920.pdf
- http://www.sec.gov/litigation/admin/2014/34-72950.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3904.pdf
- http://www.sec.gov/litigation/admin/2014/33-9630.pdf
- http://www.sec.gov/litigation/admin/2014/34-72635.pdf
- http://www.sec.gov/litigation/admin/2014/33-9575.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3762.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22888.htm
- http://www.sec.gov/litigation/admin/2013/34-70989.pdf
-
Fraud - False Account Statements
- http://www.sec.gov/litigation/admin/2015/ia-4267.pdf
- http://www.sec.gov/litigation/admin/2015/34-76432.pdf
- http://www.sec.gov/litigation/admin/2015/34-76280.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4244.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4218.pdf
- http://www.sec.gov/litigation/admin/2015/34-75955.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4179.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4156.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4155.pdf
- http://www.sec.gov/litigation/admin/2015/33-9871.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23313.htm
- http://www.sec.gov/litigation/admin/2015/34-75462.pdf
- http://www.sec.gov/litigation/admin/2015/34-75450.pdf
- http://www.sec.gov/litigation/admin/2015/34-75271.pdf
- http://www.sec.gov/litigation/admin/2015/34-75171.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4106.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23300.htm
- http://www.sec.gov/litigation/admin/2015/ia-4093.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4081.pdf
- http://www.sec.gov/litigation/admin/2015/34-74828.pdf
- http://www.sec.gov/litigation/admin/2015/34-74827.pdf
- http://www.sec.gov/litigation/admin/2014/ia-4053.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4037.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4034.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4023.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4022.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3967.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3966.pdf
- http://www.sec.gov/litigation/admin/2014/33-9666.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3949.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3946.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23109.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23104.htm
- http://www.sec.gov/litigation/admin/2014/ia-3913.pdf
- http://www.sec.gov/litigation/admin/2014/33-9630.pdf
- http://www.sec.gov/litigation/admin/2014/34-72609.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23034.htm
- http://www.sec.gov/litigation/admin/2014/34-72463.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23026.htm
- http://www.sec.gov/litigation/admin/2014/ia-3850.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3849.pdf
- http://www.sec.gov/litigation/admin/2014/34-72145.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23012.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23008.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22997.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22985.htm
- http://www.sec.gov/litigation/admin/2014/33-9579.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3815.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3807.pdf
- http://www.sec.gov/litigation/admin/2014/34-71734.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr22967.htm
- http://www.sec.gov/litigation/admin/2013/34-70980.pdf
- http://www.sec.gov/litigation/admin/2013/34-70161.pdf
- http://www.sec.gov/litigation/admin/2013/34-70125.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3632.pdf
- http://www.sec.gov/litigation/admin/2013/34-69973.pdf
- http://www.sec.gov/litigation/admin/2013/34-69971.pdf
- http://www.sec.gov/litigation/admin/2013/34-69969.pdf
- http://www.sec.gov/litigation/admin/2013/34-69873.pdf
- http://www.sec.gov/litigation/admin/2013/34-69640.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22706.htm
-
Fraud - Falsified Financials
- http://www.sec.gov/litigation/admin/2015/ia-4252.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23324.htm
- http://www.sec.gov/litigation/admin/2015/34-75271.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4112.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23291.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23291.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23275.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23126.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22988.htm
-
Fraud - Market Manipulation
- http://www.sec.gov/litigation/admin/2015/34-76058.pdf
- http://www.sec.gov/litigation/admin/2015/33-9928.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23308.htm
- http://www.sec.gov/litigation/admin/2015/34-74375.pdf
- http://www.sec.gov/litigation/admin/2014/34-73442.pdf
- http://www.sec.gov/litigation/admin/2014/34-73369.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23080.htm
- http://www.sec.gov/litigation/admin/2014/ia-3856.pdf
- http://www.sec.gov/litigation/admin/2013/34-70330.pdf
- http://www.sec.gov/litigation/admin/2013/34-69437.pdf
-
Fraud - Misappropriation
- http://www.sec.gov/litigation/admin/2015/ia-4267.pdf
- http://www.sec.gov/litigation/admin/2015/34-76435.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4264.pdf
- http://www.sec.gov/litigation/admin/2015/34-76432.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4259.pdf
- http://www.sec.gov/litigation/admin/2015/34-76333.pdf
- http://www.sec.gov/litigation/admin/2015/34-76328.pdf
- http://www.sec.gov/litigation/admin/2015/34-76304.pdf
- http://www.sec.gov/litigation/admin/2015/34-76287.pdf
- http://www.sec.gov/litigation/admin/2015/34-76280.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4244.pdf
- http://www.sec.gov/litigation/admin/2015/34-76243.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4234.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23397.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23393.htm
- http://www.sec.gov/litigation/admin/2015/ia-4218.pdf
- http://www.sec.gov/litigation/admin/2015/34-75990.pdf
- http://www.sec.gov/litigation/admin/2015/33-9925.pdf
- http://www.sec.gov/litigation/admin/2015/34-75955.pdf
- http://www.sec.gov/litigation/admin/2015/34-75954.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4189.pdf
- http://www.sec.gov/litigation/admin/2015/34-75814.pdf
- http://www.sec.gov/litigation/admin/2015/34-75760.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23366.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23334.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23324.htm
- http://www.sec.gov/litigation/admin/2015/33-9878.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4156.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4155.pdf
- http://www.sec.gov/litigation/admin/2015/33-9872.pdf
- http://www.sec.gov/litigation/admin/2015/33-9871.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4150.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4149.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23313.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23312.htm
- http://www.sec.gov/litigation/admin/2015/34-75450.pdf
- http://www.sec.gov/litigation/admin/2015/34-75401.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23308.htm
- http://www.sec.gov/litigation/admin/2015/ia-4134.pdf
- http://www.sec.gov/litigation/admin/2015/34-75292.pdf
- http://www.sec.gov/litigation/admin/2015/34-75271.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4116.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4115.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4112.pdf
- http://www.sec.gov/litigation/admin/2015/34-75125.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4106.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4105.pdf
- http://www.sec.gov/litigation/admin/2015/33-9800.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23300.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23292.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23291.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23291.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23276.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23275.htm
- http://www.sec.gov/litigation/admin/2015/33-9771.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4095.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4093.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4081.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23260.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23255.htm
- http://www.sec.gov/litigation/admin/2015/34-74828.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4070.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23244.htm
- http://www.sec.gov/litigation/admin/2015/ia-4063.pdf
- http://www.sec.gov/litigation/admin/2015/34-74731.pdf
- http://www.sec.gov/litigation/admin/2015/34-74722.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23244.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23240.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23228.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23221.htm
- http://www.sec.gov/litigation/admin/2015/34-74469.pdf
- http://www.sec.gov/litigation/admin/2015/34-74457.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4037.pdf
- http://www.sec.gov/litigation/admin/2015/34-74376.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23210.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23197.htm
- http://www.sec.gov/litigation/admin/2015/ia-4009.pdf
- http://www.sec.gov/litigation/admin/2015/34-74124.pdf
- http://www.sec.gov/litigation/admin/2015/34-74070.pdf
- http://www.sec.gov/litigation/admin/2015/ia-3996.pdf
- http://www.sec.gov/litigation/admin/2015/ia-3995.pdf
- http://www.sec.gov/litigation/admin/2015/ia-3994.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23178.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23176.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23175.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23172.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23171.htm
- http://www.sec.gov/litigation/admin/2014/ia-3991.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3982.pdf
- http://www.sec.gov/litigation/admin/2014/33-9686.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23155.htm
- http://www.sec.gov/litigation/admin/2014/34-73606.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3967.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3966.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23130.htm
- http://www.sec.gov/litigation/admin/2014/33-9666.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3949.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3946.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23126.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23109.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23108.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23104.htm
- http://www.sec.gov/litigation/admin/2014/34-73297.pdf
- http://www.sec.gov/litigation/admin/2014/33-9660.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23102.htm
- http://www.sec.gov/litigation/admin/2014/ia-3935.pdf
- http://www.sec.gov/litigation/admin/2014/34-73205.pdf
- http://www.sec.gov/litigation/admin/2014/34-73186.pdf
- http://www.sec.gov/litigation/admin/2014/34-73129.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3920.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3919.pdf
- http://www.sec.gov/litigation/admin/2014/34-73087.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3918.pdf
- http://www.sec.gov/litigation/admin/2014/34-73077.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3909.pdf
- http://www.sec.gov/litigation/admin/2014/34-72905.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3900.pdf
- http://www.sec.gov/litigation/admin/2014/33-9630.pdf
- http://www.sec.gov/litigation/admin/2014/34-72832.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23080.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23075.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23073.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23066.htm
- http://www.sec.gov/litigation/admin/2014/34-72635.pdf
- http://www.sec.gov/litigation/admin/2014/34-72609.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3869.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23034.htm
- http://www.sec.gov/litigation/admin/2014/34-72463.pdf
- http://www.sec.gov/litigation/admin/2014/33-9604.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23026.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23023.htm
- http://www.sec.gov/litigation/admin/2014/33-9599.pdf
- http://www.sec.gov/litigation/admin/2014/34-72353.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3840.pdf
- http://www.sec.gov/litigation/admin/2014/34-72209.pdf
- http://www.sec.gov/litigation/admin/2014/34-72145.pdf
- http://www.sec.gov/litigation/admin/2014/34-72145.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23012.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23008.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22998.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22997.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22988.htm
- http://www.sec.gov/litigation/admin/2014/33-9581.pdf
- http://www.sec.gov/litigation/admin/2014/33-9579.pdf
- http://www.sec.gov/litigation/admin/2014/34-72010.pdf
- http://www.sec.gov/litigation/admin/2014/34-71993.pdf
- http://www.sec.gov/litigation/admin/2014/34-71967.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3817.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3815.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3807.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3806.pdf
- http://www.sec.gov/litigation/admin/2014/34-71766.pdf
- http://www.sec.gov/litigation/admin/2014/34-71734.pdf
- http://www.sec.gov/litigation/admin/2014/34-71738.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr22967.htm
- http://www.sec.gov/litigation/admin/2014/34-71522.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr22922.htm
- http://www.sec.gov/litigation/admin/2014/34-71492.pdf
- http://www.sec.gov/litigation/admin/2014/34-71459.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr22908.htm
- http://www.sec.gov/litigation/admin/2013/34-71109.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3740.pdf
- http://www.sec.gov/litigation/admin/2013/33-9495.pdf
- http://www.sec.gov/litigation/admin/2013/34-70980.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3730.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3723.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22885.htm
- http://www.sec.gov/litigation/admin/2013/34-70344.pdf
- http://www.sec.gov/litigation/admin/2013/34-70343.pdf
- http://www.sec.gov/litigation/admin/2013/34-70341.pdf
- http://www.sec.gov/litigation/admin/2013/34-70338.pdf
- http://www.sec.gov/litigation/admin/2013/34-70297.pdf
- http://www.sec.gov/litigation/admin/2013/33-9446.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3657.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3656.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22789.htm
- http://www.sec.gov/litigation/admin/2013/33-9442.pdf
- http://www.sec.gov/litigation/admin/2013/34-70161.pdf
- http://www.sec.gov/litigation/admin/2013/34-70125.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3642.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22787.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22784.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22777.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22774.htm
- http://www.sec.gov/litigation/admin/2013/ia-3632.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3630.pdf
- http://www.sec.gov/litigation/admin/2013/34-69950.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22743.htm
- http://www.sec.gov/litigation/admin/2013/34-69873.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22722.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22720.htm
- http://www.sec.gov/litigation/admin/2013/34-69640.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3610.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22706.htm
-
Fraud - Misrepresentations
- http://www.sec.gov/litigation/admin/2015/ia-4283.pdf
- http://www.sec.gov/litigation/admin/2015/34-76528.pdf
- http://www.sec.gov/litigation/admin/2015/34-76523.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4276.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4277.pdf
- http://www.sec.gov/litigation/admin/2015/34-76465.pdf
- http://www.sec.gov/litigation/admin/2015/34-76464.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4267.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4266.pdf
- http://www.sec.gov/litigation/admin/2015/34-76435.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4264.pdf
- http://www.sec.gov/litigation/admin/2015/34-76432.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4259.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4258.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4257.pdf
- http://www.sec.gov/litigation/admin/2015/33-9976.pdf
- http://www.sec.gov/litigation/admin/2015/34-76333.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4252.pdf
- http://www.sec.gov/litigation/admin/2015/34-76328.pdf
- http://www.sec.gov/litigation/admin/2015/34-76304.pdf
- http://www.sec.gov/litigation/admin/2015/34-76280.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4244.pdf
- http://www.sec.gov/litigation/admin/2015/34-76264.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4242.pdf
- http://www.sec.gov/litigation/admin/2015/34-76243.pdf
- http://www.sec.gov/litigation/admin/2015/34-76218.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4235.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4234.pdf
- http://www.sec.gov/litigation/admin/2015/33-9964.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23397.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23393.htm
- http://www.sec.gov/litigation/admin/2015/ia-4219.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4218.pdf
- http://www.sec.gov/litigation/admin/2015/34-76079.pdf
- http://www.sec.gov/litigation/admin/2015/34-76058.pdf
- http://www.sec.gov/litigation/admin/2015/34-75990.pdf
- http://www.sec.gov/litigation/admin/2015/33-9925.pdf
- http://www.sec.gov/litigation/admin/2015/34-75955.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4199.pdf
- http://www.sec.gov/litigation/admin/2015/33-9913.pdf
- http://www.sec.gov/litigation/admin/2015/33-9910.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4189.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4188.pdf
- http://www.sec.gov/litigation/admin/2015/34-75814.pdf
- http://www.sec.gov/litigation/admin/2015/34-75760.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23370.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23360.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23334.htm
- http://www.sec.gov/litigation/admin/2015/ia-4179.pdf
- http://www.sec.gov/litigation/admin/2015/33-9893.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23324.htm
- http://www.sec.gov/litigation/admin/2015/33-9878.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4156.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4155.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4154.pdf
- http://www.sec.gov/litigation/admin/2015/33-9872.pdf
- http://www.sec.gov/litigation/admin/2015/33-9871.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4150.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4149.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23313.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23312.htm
- http://www.sec.gov/litigation/admin/2015/34-75462.pdf
- http://www.sec.gov/litigation/admin/2015/34-75450.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4139.pdf
- http://www.sec.gov/litigation/admin/2015/34-75401.pdf
- http://www.sec.gov/litigation/admin/2015/34-75340.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4135.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4134.pdf
- http://www.sec.gov/litigation/admin/2015/34-75327.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4120.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4131.pdf
- http://www.sec.gov/litigation/admin/2015/34-75292.pdf
- http://www.sec.gov/litigation/admin/2015/34-75271.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4114.pdf
- http://www.sec.gov/litigation/admin/2015/34-75171.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4112.pdf
- http://www.sec.gov/litigation/admin/2015/34-75128.pdf
- http://www.sec.gov/litigation/admin/2015/34-75127.pdf
- http://www.sec.gov/litigation/admin/2015/34-75126.pdf
- http://www.sec.gov/litigation/admin/2015/34-75125.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4106.pdf
- http://www.sec.gov/litigation/admin/2015/33-9801.pdf
- http://www.sec.gov/litigation/admin/2015/33-9800.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4100.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23300.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23292.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23291.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23291.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23276.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23275.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23273.htm
- http://www.sec.gov/litigation/admin/2015/33-9789.pdf
- http://www.sec.gov/litigation/admin/2015/33-9771.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4095.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4093.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4087.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4086.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4081.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23260.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23255.htm
- http://www.sec.gov/litigation/admin/2015/34-74828.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4070.pdf
- http://www.sec.gov/litigation/admin/2015/34-74798.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23246.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23244.htm
- http://www.sec.gov/litigation/admin/2015/33-9752.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4063.pdf
- http://www.sec.gov/litigation/admin/2015/34-74731.pdf
- http://www.sec.gov/litigation/admin/2015/34-74722.pdf
- http://www.sec.gov/litigation/admin/2015/34-74667.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23244.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23240.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23235.htm
- http://www.sec.gov/litigation/admin/2014/ia-4053.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23228.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23221.htm
- http://www.sec.gov/litigation/admin/2015/ia-4050.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4049.pdf
- http://www.sec.gov/litigation/admin/2015/33-9737.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4044.pdf
- http://www.sec.gov/litigation/admin/2015/34-74469.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4037.pdf
- http://www.sec.gov/litigation/admin/2015/34-74376.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4034.pdf
- http://www.sec.gov/litigation/admin/2015/34-74375.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23210.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23204.htm
- http://www.sec.gov/litigation/admin/2015/34-74276.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4023.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4022.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23197.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23196.htm
- http://www.sec.gov/litigation/admin/2015/ia-4009.pdf
- http://www.sec.gov/litigation/admin/2015/34-74124.pdf
- http://www.sec.gov/litigation/admin/2015/33-9708.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4004.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4000.pdf
- http://www.sec.gov/litigation/admin/2015/34-74089.pdf
- http://www.sec.gov/litigation/admin/2015/34-74070.pdf
- http://www.sec.gov/litigation/admin/2015/ia-3996.pdf
- http://www.sec.gov/litigation/admin/2015/ia-3995.pdf
- http://www.sec.gov/litigation/admin/2015/ia-3994.pdf
- http://www.sec.gov/litigation/admin/2015/ia-3993.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23178.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23176.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23175.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23172.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23171.htm
- http://www.sec.gov/litigation/admin/2014/ia-3991.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3982.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3983.pdf
- http://www.sec.gov/litigation/admin/2014/33-9687.pdf
- http://www.sec.gov/litigation/admin/2014/33-9686.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23166.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23155.htm
- http://www.sec.gov/litigation/admin/2014/34-73678.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23140.htm
- http://www.sec.gov/litigation/admin/2014/34-73606.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3967.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3966.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23132.htm
- http://www.sec.gov/litigation/admin/2014/34-73533.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3962.pdf
- http://www.sec.gov/litigation/admin/2014/33-9667.pdf
- http://www.sec.gov/litigation/admin/2014/33-9666.pdf
- http://www.sec.gov/litigation/admin/2014/33-9665.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3949.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3946.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23126.htm
- http://www.sec.gov/litigation/admin/2014/ia-3944.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23109.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23108.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23104.htm
- http://www.sec.gov/litigation/admin/2014/33-9660.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23102.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23098.htm
- http://www.sec.gov/litigation/admin/2014/34-73216.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3935.pdf
- http://www.sec.gov/litigation/admin/2014/34-73206.pdf
- http://www.sec.gov/litigation/admin/2014/34-73205.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3930.pdf
- http://www.sec.gov/litigation/admin/2014/34-73186.pdf
- http://www.sec.gov/litigation/admin/2014/34-73183.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23093.htm
- http://www.sec.gov/litigation/admin/2014/ia-3924.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3923.pdf
- http://www.sec.gov/litigation/admin/2014/34-73130.pdf
- http://www.sec.gov/litigation/admin/2014/34-73129.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3920.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3919.pdf
- http://www.sec.gov/litigation/admin/2014/34-73087.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3918.pdf
- http://www.sec.gov/litigation/admin/2014/34-73077.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3913.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3912.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3909.pdf
- http://www.sec.gov/litigation/admin/2014/34-72950.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3904.pdf
- http://www.sec.gov/litigation/admin/2014/34-72905.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3900.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3899.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3898.pdf
- http://www.sec.gov/litigation/admin/2014/34-72838.pdf
- http://www.sec.gov/litigation/admin/2014/33-9630.pdf
- http://www.sec.gov/litigation/admin/2014/34-72832.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23080.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23075.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23073.htm
- http://www.sec.gov/litigation/admin/2014/34-72635.pdf
- http://www.sec.gov/litigation/admin/2014/34-72609.pdf
- http://www.sec.gov/litigation/admin/2014/34-72541.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3871.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3869.pdf
- http://www.sec.gov/litigation/admin/2014/34-72515.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23034.htm
- http://www.sec.gov/litigation/admin/2014/34-72463.pdf
- http://www.sec.gov/litigation/admin/2014/33-9604.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23026.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23023.htm
- http://www.sec.gov/litigation/admin/2014/33-9599.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3850.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3849.pdf
- http://www.sec.gov/litigation/admin/2014/33-9597.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23017.htm
- http://www.sec.gov/litigation/admin/2014/34-72290.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3840.pdf
- http://www.sec.gov/litigation/admin/2014/34-72209.pdf
- http://www.sec.gov/litigation/admin/2014/34-72145.pdf
- http://www.sec.gov/litigation/admin/2014/34-72145.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23015.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23012.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23008.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22998.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22997.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22988.htm
- http://www.sec.gov/litigation/admin/2014/33-9581.pdf
- http://www.sec.gov/litigation/admin/2014/34-72058.pdf
- http://www.sec.gov/litigation/admin/2014/33-9579.pdf
- http://www.sec.gov/litigation/admin/2014/34-72010.pdf
- http://www.sec.gov/litigation/admin/2014/34-72004.pdf
- http://www.sec.gov/litigation/admin/2014/34-71993.pdf
- http://www.sec.gov/litigation/admin/2014/34-71967.pdf
- http://www.sec.gov/litigation/admin/2014/33-9575.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3817.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3815.pdf
- http://www.sec.gov/litigation/admin/2014/34-71907.pdf
- http://www.sec.gov/litigation/admin/2014/34-71850.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3807.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3806.pdf
- http://www.sec.gov/litigation/admin/2014/34-71766.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3801.pdf
- http://www.sec.gov/litigation/admin/2014/34-71757.pdf
- http://www.sec.gov/litigation/admin/2014/34-71738.pdf
- http://www.sec.gov/litigation/admin/2014/34-71734.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr22983.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22967.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22949.htm
- http://www.sec.gov/litigation/admin/2014/ia-3778.pdf
- http://www.sec.gov/litigation/admin/2014/33-9547.pdf
- http://www.sec.gov/litigation/admin/2014/34-71522.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr22927.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22922.htm
- http://www.sec.gov/litigation/admin/2014/34-71492.pdf
- http://www.sec.gov/litigation/admin/2014/34-71459.pdf
- http://www.sec.gov/litigation/admin/2014/33-9521.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3763.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3762.pdf
- http://www.sec.gov/litigation/admin/2014/33-9515.pdf
- http://www.sec.gov/litigation/admin/2014/33-9511.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3751.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr22908.htm
- http://www.sec.gov/litigation/admin/2013/33-9501.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22895.htm
- http://www.sec.gov/litigation/admin/2013/ia-3740.pdf
- http://www.sec.gov/litigation/admin/2013/33-9495.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3735.pdf
- http://www.sec.gov/litigation/admin/2013/34-71043.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22888.htm
- http://www.sec.gov/litigation/admin/2013/34-70989.pdf
- http://www.sec.gov/litigation/admin/2013/34-70980.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3730.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3729.pdf
- http://www.sec.gov/litigation/admin/2013/33-9488.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3725.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3723.pdf
- http://www.sec.gov/litigation/admin/2013/34-70938.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22885.htm
- http://www.sec.gov/litigation/admin/2013/34-70344.pdf
- http://www.sec.gov/litigation/admin/2013/34-70343.pdf
- http://www.sec.gov/litigation/admin/2013/34-70341.pdf
- http://www.sec.gov/litigation/admin/2013/34-70338.pdf
- http://www.sec.gov/litigation/admin/2013/34-70330.pdf
- http://www.sec.gov/litigation/admin/2013/34-70329.pdf
- http://www.sec.gov/litigation/admin/2013/33-9446.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3657.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3656.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22789.htm
- http://www.sec.gov/litigation/admin/2013/ia-3654.pdf
- http://www.sec.gov/litigation/admin/2013/34-70239.pdf
- http://www.sec.gov/litigation/admin/2013/33-9443.pdf
- http://www.sec.gov/litigation/admin/2013/33-9442.pdf
- http://www.sec.gov/litigation/admin/2013/34-70215.pdf
- http://www.sec.gov/litigation/admin/2013/33-9440.pdf
- http://www.sec.gov/litigation/admin/2013/34-70161.pdf
- http://www.sec.gov/litigation/admin/2013/34-70126.pdf
- http://www.sec.gov/litigation/admin/2013/34-70125.pdf
- http://www.sec.gov/litigation/admin/2013/33-9438.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3642.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22787.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22784.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22777.htm
- http://www.sec.gov/litigation/admin/2013/34-70043.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3632.pdf
- http://www.sec.gov/litigation/admin/2013/34-69984.pdf
- http://www.sec.gov/litigation/admin/2013/34-69973.pdf
- http://www.sec.gov/litigation/admin/2013/34-69971.pdf
- http://www.sec.gov/litigation/admin/2013/34-69969.pdf
- http://www.sec.gov/litigation/admin/2013/34-69950.pdf
- http://www.sec.gov/litigation/admin/2013/34-69949.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22743.htm
- http://www.sec.gov/litigation/admin/2013/34-69873.pdf
- http://www.sec.gov/litigation/admin/2013/34-69816.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22720.htm
- http://www.sec.gov/litigation/admin/2013/34-69640.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3610.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22706.htm
- http://www.sec.gov/litigation/admin/2013/ia-3592.pdf
- http://www.sec.gov/litigation/admin/2013/34-69461.pdf
- http://www.sec.gov/litigation/admin/2013/34-69462.pdf
- http://www.sec.gov/litigation/admin/2013/34-69425.pdf
-
Fraud - Offering Fraud
- http://www.sec.gov/litigation/admin/2015/34-76465.pdf
- http://www.sec.gov/litigation/admin/2015/34-76464.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4267.pdf
- http://www.sec.gov/litigation/admin/2015/34-76435.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4264.pdf
- http://www.sec.gov/litigation/admin/2015/33-9976.pdf
- http://www.sec.gov/litigation/admin/2015/34-76243.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23397.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23393.htm
- http://www.sec.gov/litigation/admin/2015/33-9925.pdf
- http://www.sec.gov/litigation/admin/2015/34-75954.pdf
- http://www.sec.gov/litigation/admin/2015/34-75760.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23370.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23360.htm
- http://www.sec.gov/litigation/admin/2015/ia-4179.pdf
- http://www.sec.gov/litigation/admin/2015/33-9878.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4150.pdf
- http://www.sec.gov/litigation/admin/2015/34-75539.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23313.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23312.htm
- http://www.sec.gov/litigation/admin/2015/33-9868.pdf
- http://www.sec.gov/litigation/admin/2015/34-75462.pdf
- http://www.sec.gov/litigation/admin/2015/34-75450.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4134.pdf
- http://www.sec.gov/litigation/admin/2015/34-75292.pdf
- http://www.sec.gov/litigation/admin/2015/34-75271.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4106.pdf
- http://www.sec.gov/litigation/admin/2015/33-9801.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23292.htm
- http://www.sec.gov/litigation/admin/2015/33-9771.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4093.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23246.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23244.htm
- http://www.sec.gov/litigation/admin/2015/33-9752.pdf
- http://www.sec.gov/litigation/admin/2015/34-74667.pdf
- http://www.sec.gov/litigation/admin/2015/34-74413.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23197.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23196.htm
- http://www.sec.gov/litigation/admin/2015/33-9708.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23140.htm
- http://www.sec.gov/litigation/admin/2014/ia-3962.pdf
- http://www.sec.gov/litigation/admin/2014/33-9666.pdf
- http://www.sec.gov/litigation/admin/2014/33-9665.pdf
- http://www.sec.gov/litigation/admin/2014/33-9660.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23102.htm
- http://www.sec.gov/litigation/admin/2014/ia-3899.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3898.pdf
- http://www.sec.gov/litigation/admin/2014/34-72832.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23073.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23034.htm
- http://www.sec.gov/litigation/admin/2014/33-9599.pdf
- http://www.sec.gov/litigation/admin/2014/34-72290.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3840.pdf
- http://www.sec.gov/litigation/admin/2014/33-9581.pdf
- http://www.sec.gov/litigation/admin/2014/33-9579.pdf
- http://www.sec.gov/litigation/admin/2014/34-72010.pdf
- http://www.sec.gov/litigation/admin/2014/34-72004.pdf
- http://www.sec.gov/litigation/admin/2014/34-71492.pdf
- http://www.sec.gov/litigation/admin/2014/33-9511.pdf
- http://www.sec.gov/litigation/admin/2013/33-9495.pdf
- http://www.sec.gov/litigation/admin/2013/34-70938.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22885.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22881.htm
- http://www.sec.gov/litigation/admin/2013/34-70341.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22789.htm
- http://www.sec.gov/litigation/admin/2013/34-70215.pdf
- http://www.sec.gov/litigation/admin/2013/33-9440.pdf
- http://www.sec.gov/litigation/admin/2013/34-70125.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22777.htm
-
Fraud - Omissions
- http://www.sec.gov/litigation/admin/2015/ia-4276.pdf
- http://www.sec.gov/litigation/admin/2015/34-76523.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4277.pdf
- http://www.sec.gov/litigation/admin/2015/34-76465.pdf
- http://www.sec.gov/litigation/admin/2015/34-76464.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4267.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4266.pdf
- http://www.sec.gov/litigation/admin/2015/34-76435.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4264.pdf
- http://www.sec.gov/litigation/admin/2015/34-76432.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4259.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4257.pdf
- http://www.sec.gov/litigation/admin/2015/33-9976.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4253.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4252.pdf
- http://www.sec.gov/litigation/admin/2015/34-76328.pdf
- http://www.sec.gov/litigation/admin/2015/34-76304.pdf
- http://www.sec.gov/litigation/admin/2015/34-76287.pdf
- http://www.sec.gov/litigation/admin/2015/34-76280.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4244.pdf
- http://www.sec.gov/litigation/admin/2015/34-76264.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4242.pdf
- http://www.sec.gov/litigation/admin/2015/34-76243.pdf
- http://www.sec.gov/litigation/admin/2015/34-76218.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4234.pdf
- http://www.sec.gov/litigation/admin/2015/33-9964.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23397.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23393.htm
- http://www.sec.gov/litigation/admin/2015/ia-4219.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4218.pdf
- http://www.sec.gov/litigation/admin/2015/34-76079.pdf
- http://www.sec.gov/litigation/admin/2015/34-76058.pdf
- http://www.sec.gov/litigation/admin/2015/34-75990.pdf
- http://www.sec.gov/litigation/admin/2015/33-9925.pdf
- http://www.sec.gov/litigation/admin/2015/34-75955.pdf
- http://www.sec.gov/litigation/admin/2015/33-9913.pdf
- http://www.sec.gov/litigation/admin/2015/33-9910.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4189.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4188.pdf
- http://www.sec.gov/litigation/admin/2015/34-75814.pdf
- http://www.sec.gov/litigation/admin/2015/34-75760.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23370.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23360.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23334.htm
- http://www.sec.gov/litigation/admin/2015/33-9893.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23324.htm
- http://www.sec.gov/litigation/admin/2015/ia-4156.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4155.pdf
- http://www.sec.gov/litigation/admin/2015/33-9872.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23313.htm
- http://www.sec.gov/litigation/admin/2015/34-75462.pdf
- http://www.sec.gov/litigation/admin/2015/34-75450.pdf
- http://www.sec.gov/litigation/admin/2015/34-75401.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4134.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4131.pdf
- http://www.sec.gov/litigation/admin/2015/34-75292.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4116.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4115.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4114.pdf
- http://www.sec.gov/litigation/admin/2015/34-75171.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4112.pdf
- http://www.sec.gov/litigation/admin/2015/34-75128.pdf
- http://www.sec.gov/litigation/admin/2015/34-75127.pdf
- http://www.sec.gov/litigation/admin/2015/34-75126.pdf
- http://www.sec.gov/litigation/admin/2015/33-9801.pdf
- http://www.sec.gov/litigation/admin/2015/33-9800.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4100.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23300.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23294.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23292.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23291.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23288.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23276.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23275.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23273.htm
- http://www.sec.gov/litigation/admin/2015/33-9789.pdf
- http://www.sec.gov/litigation/admin/2015/33-9771.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4095.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4093.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4086.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4081.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23260.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23255.htm
- http://www.sec.gov/litigation/admin/2015/34-74828.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4070.pdf
- http://www.sec.gov/litigation/admin/2015/34-74798.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4065.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23246.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23244.htm
- http://www.sec.gov/litigation/admin/2015/33-9752.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4063.pdf
- http://www.sec.gov/litigation/admin/2015/34-74731.pdf
- http://www.sec.gov/litigation/admin/2015/34-74722.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23235.htm
- http://www.sec.gov/litigation/admin/2014/ia-4053.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23228.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23221.htm
- http://www.sec.gov/litigation/admin/2015/ia-4050.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4049.pdf
- http://www.sec.gov/litigation/admin/2015/33-9737.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4044.pdf
- http://www.sec.gov/litigation/admin/2015/34-74469.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4037.pdf
- http://www.sec.gov/litigation/admin/2015/34-74376.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4034.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4032.pdf
- http://www.sec.gov/litigation/admin/2015/34-74375.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23210.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23204.htm
- http://www.sec.gov/litigation/admin/2015/34-74276.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4023.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4022.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23197.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23196.htm
- http://www.sec.gov/litigation/admin/2015/ia-4009.pdf
- http://www.sec.gov/litigation/admin/2015/34-74124.pdf
- http://www.sec.gov/litigation/admin/2015/33-9708.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4004.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4000.pdf
- http://www.sec.gov/litigation/admin/2015/34-74089.pdf
- http://www.sec.gov/litigation/admin/2015/34-74070.pdf
- http://www.sec.gov/litigation/admin/2015/ia-3996.pdf
- http://www.sec.gov/litigation/admin/2015/ia-3995.pdf
- http://www.sec.gov/litigation/admin/2015/ia-3994.pdf
- http://www.sec.gov/litigation/admin/2015/ia-3993.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23178.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23176.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23175.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23172.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23171.htm
- http://www.sec.gov/litigation/admin/2014/ia-3991.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3982.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3983.pdf
- http://www.sec.gov/litigation/admin/2014/33-9687.pdf
- http://www.sec.gov/litigation/admin/2014/33-9686.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3975.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23166.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23155.htm
- http://www.sec.gov/litigation/admin/2014/34-73678.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23140.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23132.htm
- http://www.sec.gov/litigation/admin/2014/34-73533.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3962.pdf
- http://www.sec.gov/litigation/admin/2014/33-9667.pdf
- http://www.sec.gov/litigation/admin/2014/33-9666.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23109.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23104.htm
- http://www.sec.gov/litigation/admin/2014/33-9660.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23102.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23098.htm
- http://www.sec.gov/litigation/admin/2014/34-73216.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3935.pdf
- http://www.sec.gov/litigation/admin/2014/34-73206.pdf
- http://www.sec.gov/litigation/admin/2014/34-73205.pdf
- http://www.sec.gov/litigation/admin/2014/34-73183.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3927.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3923.pdf
- http://www.sec.gov/litigation/admin/2014/34-73130.pdf
- http://www.sec.gov/litigation/admin/2014/34-73087.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3918.pdf
- http://www.sec.gov/litigation/admin/2014/34-72950.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3904.pdf
- http://www.sec.gov/litigation/admin/2014/34-72905.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3900.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3899.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3898.pdf
- http://www.sec.gov/litigation/admin/2014/33-9630.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23080.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23073.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23066.htm
- http://www.sec.gov/litigation/admin/2014/34-72635.pdf
- http://www.sec.gov/litigation/admin/2014/34-72609.pdf
- http://www.sec.gov/litigation/admin/2014/34-72541.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3871.pdf
- http://www.sec.gov/litigation/admin/2014/34-72515.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23034.htm
- http://www.sec.gov/litigation/admin/2014/34-72463.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23026.htm
- http://www.sec.gov/litigation/admin/2014/33-9599.pdf
- http://www.sec.gov/litigation/admin/2014/33-9597.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23017.htm
- http://www.sec.gov/litigation/admin/2014/ia-3840.pdf
- http://www.sec.gov/litigation/admin/2014/34-72145.pdf
- http://www.sec.gov/litigation/admin/2014/34-72058.pdf
- http://www.sec.gov/litigation/admin/2014/34-72004.pdf
- http://www.sec.gov/litigation/admin/2014/34-71993.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3815.pdf
- http://www.sec.gov/litigation/admin/2014/34-71908.pdf
- http://www.sec.gov/litigation/admin/2014/34-71907.pdf
- http://www.sec.gov/litigation/admin/2014/34-71850.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3807.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3801.pdf
- http://www.sec.gov/litigation/admin/2014/34-71757.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr22983.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22967.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22949.htm
- http://www.sec.gov/litigation/admin/2014/ia-3778.pdf
- http://www.sec.gov/litigation/admin/2014/33-9547.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr22927.htm
- http://www.sec.gov/litigation/admin/2014/33-9521.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3763.pdf
- http://www.sec.gov/litigation/admin/2014/33-9515.pdf
- http://www.sec.gov/litigation/admin/2014/33-9511.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3751.pdf
- http://www.sec.gov/litigation/admin/2013/33-9501.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22895.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22888.htm
- http://www.sec.gov/litigation/admin/2013/ia-3730.pdf
- http://www.sec.gov/litigation/admin/2013/33-9488.pdf
- http://www.sec.gov/litigation/admin/2013/34-70938.pdf
- http://www.sec.gov/litigation/admin/2013/34-70344.pdf
- http://www.sec.gov/litigation/admin/2013/34-70343.pdf
- http://www.sec.gov/litigation/admin/2013/34-70341.pdf
- http://www.sec.gov/litigation/admin/2013/34-70338.pdf
- http://www.sec.gov/litigation/admin/2013/34-70330.pdf
- http://www.sec.gov/litigation/admin/2013/34-70329.pdf
- http://www.sec.gov/litigation/admin/2013/34-70297.pdf
- http://www.sec.gov/litigation/admin/2013/33-9446.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3657.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3656.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22789.htm
- http://www.sec.gov/litigation/admin/2013/ia-3654.pdf
- http://www.sec.gov/litigation/admin/2013/34-70239.pdf
- http://www.sec.gov/litigation/admin/2013/33-9443.pdf
- http://www.sec.gov/litigation/admin/2013/34-70215.pdf
- http://www.sec.gov/litigation/admin/2013/33-9440.pdf
- http://www.sec.gov/litigation/admin/2013/34-70126.pdf
- http://www.sec.gov/litigation/admin/2013/34-70125.pdf
- http://www.sec.gov/litigation/admin/2013/33-9438.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22784.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22777.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22774.htm
- http://www.sec.gov/litigation/admin/2013/ia-3632.pdf
- http://www.sec.gov/litigation/admin/2013/34-69984.pdf
- http://www.sec.gov/litigation/admin/2013/34-69950.pdf
- http://www.sec.gov/litigation/admin/2013/34-69949.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22743.htm
- http://www.sec.gov/litigation/admin/2013/34-69816.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3610.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3592.pdf
- http://www.sec.gov/litigation/admin/2013/34-69461.pdf
- http://www.sec.gov/litigation/admin/2013/34-69462.pdf
- http://www.sec.gov/litigation/admin/2013/34-69425.pdf
-
Fraud - Ponzi Scheme
- http://www.sec.gov/litigation/admin/2015/34-76523.pdf
- http://www.sec.gov/litigation/admin/2015/34-76435.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4264.pdf
- http://www.sec.gov/litigation/admin/2015/34-76304.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4242.pdf
- http://www.sec.gov/litigation/admin/2015/34-76243.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4234.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23397.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23393.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23370.htm
- http://www.sec.gov/litigation/admin/2015/33-9878.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23312.htm
- http://www.sec.gov/litigation/admin/2015/34-75450.pdf
- http://www.sec.gov/litigation/admin/2015/34-75292.pdf
- http://www.sec.gov/litigation/admin/2015/34-75271.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4106.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23300.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23291.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23275.htm
- http://www.sec.gov/litigation/admin/2015/33-9771.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4093.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23255.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23246.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23221.htm
- http://www.sec.gov/litigation/admin/2015/ia-4037.pdf
- http://www.sec.gov/litigation/admin/2015/34-74376.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23204.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23185.htm
- http://www.sec.gov/litigation/admin/2015/34-74070.pdf
- http://www.sec.gov/litigation/admin/2015/ia-3996.pdf
- http://www.sec.gov/litigation/admin/2015/ia-3995.pdf
- http://www.sec.gov/litigation/admin/2015/ia-3994.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23175.htm
- http://www.sec.gov/litigation/admin/2014/ia-3967.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3966.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3962.pdf
- http://www.sec.gov/litigation/admin/2014/33-9666.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3949.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23122.htm
- http://www.sec.gov/litigation/admin/2014/34-73216.pdf
- http://www.sec.gov/litigation/admin/2014/34-73205.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23093.htm
- http://www.sec.gov/litigation/admin/2014/ia-3840.pdf
- http://www.sec.gov/litigation/admin/2014/34-72209.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23008.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22998.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22997.htm
- http://www.sec.gov/litigation/admin/2014/34-72004.pdf
- http://www.sec.gov/litigation/admin/2014/34-71993.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3815.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3806.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr22983.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22967.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22925.htm
- http://www.sec.gov/litigation/admin/2013/33-9495.pdf
- http://www.sec.gov/litigation/admin/2013/34-70330.pdf
- http://www.sec.gov/litigation/admin/2013/34-70329.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22789.htm
- http://www.sec.gov/litigation/litreleases/2013/lr22774.htm
- http://www.sec.gov/litigation/admin/2013/34-69640.pdf
- http://www.sec.gov/litigation/admin/2013/34-69637.pdf
- http://www.sec.gov/litigation/admin/2013/34-69529.pdf
- Fraud - Prime Bank Scheme
-
Insider Trading
- http://www.sec.gov/litigation/admin/2015/ia-4287.pdf
- http://www.sec.gov/litigation/admin/2015/34-76512.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4265.pdf
- http://www.sec.gov/litigation/admin/2015/34-76080.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4185.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23380.htm
- http://www.sec.gov/litigation/admin/2015/34-75500.pdf
- http://www.sec.gov/litigation/admin/2015/34-75484.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4124.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4123.pdf
- http://www.sec.gov/litigation/admin/2015/34-74494.pdf
- http://www.sec.gov/litigation/admin/2015/34-74305.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23133.htm
- http://www.sec.gov/litigation/admin/2014/ia-3964.pdf
- http://www.sec.gov/litigation/admin/2014/34-73350.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23118.htm
- http://www.sec.gov/litigation/admin/2014/33-9655.pdf
- http://www.sec.gov/litigation/admin/2014/34-73175.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3864.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3855.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3853.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3831.pdf
- http://www.sec.gov/litigation/admin/2014/34-71497.pdf
- http://www.sec.gov/litigation/admin/2014/34-71463.pdf
- http://www.sec.gov/litigation/admin/2014/34-71429.pdf
- http://www.sec.gov/litigation/admin/2014/34-71315.pdf
- http://www.sec.gov/litigation/admin/2014/34-71260.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3660.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3649.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22761.htm
- http://www.sec.gov/litigation/admin/2013/ia-3634.pdf
- http://www.sec.gov/litigation/litreleases/2013/lr22707.htm
- http://www.sec.gov/litigation/admin/2013/34-69514.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3604.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3605.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3606.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3607.pdf
- Insurance Products
- Money Laundering / Bank Secrecy Act (BSA)
- Money Market Fund
- Pay to Play
-
Performance Fees
- http://www.sec.gov/litigation/admin/2015/34-75340.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4135.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4070.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23228.htm
- http://www.sec.gov/litigation/litreleases/2014/lr23080.htm
- http://www.sec.gov/litigation/admin/2013/ia-3747.pdf
- Personal Trading
- PIPE
-
Principal Transactions
- http://www.sec.gov/litigation/admin/2015/34-76435.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4264.pdf
- http://www.sec.gov/litigation/admin/2015/34-76264.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23393.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23370.htm
- http://www.sec.gov/litigation/admin/2015/34-75729.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23324.htm
- http://www.sec.gov/litigation/admin/2015/34-75625.pdf
- http://www.sec.gov/litigation/admin/2015/34-75401.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23276.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23260.htm
- http://www.sec.gov/litigation/litreleases/2015/lr23235.htm
- http://www.sec.gov/litigation/admin/2015/33-9737.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3991.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3939.pdf
- http://www.sec.gov/litigation/admin/2014/34-73206.pdf
- http://www.sec.gov/litigation/admin/2014/34-73183.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3924.pdf
- http://www.sec.gov/litigation/admin/2014/34-72393.pdf
- http://www.sec.gov/litigation/admin/2013/ia-3727.pdf
- http://www.sec.gov/litigation/admin/2013/34-70944.pdf
-
Registration
- http://www.sec.gov/litigation/admin/2015/ia-4269.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4268.pdf
- http://www.sec.gov/litigation/admin/2015/34-76435.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4264.pdf
- http://www.sec.gov/litigation/litreleases/2015/lr23393.htm
- http://www.sec.gov/litigation/admin/2015/ia-4177.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4176.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4175.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4050.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4027.pdf
- http://www.sec.gov/litigation/admin/2014/34-73681.pdf
- http://www.sec.gov/litigation/admin/2014/33-9665.pdf
- http://www.sec.gov/litigation/admin/2014/34-73206.pdf
- http://www.sec.gov/litigation/admin/2014/34-72541.pdf
- http://www.sec.gov/litigation/admin/2014/34-72515.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23034.htm
- http://www.sec.gov/litigation/admin/2014/ia-3864.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3859.pdf
- http://www.sec.gov/litigation/admin/2014/ia-3858.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr22985.htm
- http://www.sec.gov/litigation/litreleases/2014/lr22962.htm
- http://www.sec.gov/litigation/admin/2013/ia-3740.pdf
- http://www.sec.gov/litigation/admin/2013/33-9437.pdf
- Securities Lending
- Soft Dollars
-
Valuation
- http://www.sec.gov/litigation/admin/2015/ia-4267.pdf
- http://www.sec.gov/litigation/admin/2015/34-76218.pdf
- http://www.sec.gov/litigation/admin/2015/34-75340.pdf
- http://www.sec.gov/litigation/admin/2015/ia-4135.pdf
- http://www.sec.gov/litigation/admin/2014/ia-4053.pdf
- http://www.sec.gov/litigation/litreleases/2014/lr23108.htm
- http://www.sec.gov/litigation/admin/2014/ia-3944.pdf
- http://www.sec.gov/litigation/admin/2014/33-9515.pdf
- http://www.sec.gov/litigation/admin/2013/33-9443.pdf
- http://www.sec.gov/litigation/admin/2013/33-9390.pdf
- http://www.sec.gov/litigation/admin/2013/34-70016.pdf
- http://www.sec.gov/litigation/admin/2013/ic-30557.pdf
- http://www.sec.gov/litigation/litreleases/2012/lr22510.htm
- http://www.sec.gov/litigation/litreleases/2012/lr22477.htm
- http://www.sec.gov/litigation/litreleases/2011/lr22024.htm
- http://www.sec.gov/litigation/admin/2012/34-67140.pdf
- http://www.sec.gov/litigation/litreleases/2010/lr21699.htm
- http://www.sec.gov/litigation/admin/2009/ia-2855.pdf
- http://www.sec.gov/litigation/aljdec/2009/ia-2848.pdf
- http://www.sec.gov/litigation/aljdec/2009/id369rgm.pdf
- http://www.sec.gov/litigation/litreleases/2008/lr20751.htm
- http://www.sec.gov/litigation/complaints/comp18226.htm
- http://www.sec.gov/litigation/litreleases/lr19427.htm
- http://www.sec.gov/litigation/litreleases/lr18432.htm
- Additional Litigation Releases
Last Reviewed or Updated: Dec. 10, 2015