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Securities and Exchange Commission
Selected
Non-Confidential Engagements

U.S. Securities & Exchange Commission

Expert adviser to the SEC on matters relating to underwriters and broker-dealers and their compliance with securities laws in the pricing, sale and trading of auction rate securities.

SPECIAL SECTION: Auction Rate Securities in the Press
UBS to Pay $19 Billion As Auction Mess Hits Wall Street (PDF 94k)
The Wall Street Journal
August 9, 2008
Citigroup Agrees in Principle to Auction Rate Securities Settlement
SEC Press Release
August 7, 2008
Fichera of Saber Says Municipals Need More Transparency (video),
Bloomberg News
February 15, 2008
Muni Regulators Seek Disclosure on Auction-Rate Bonds,
Bloomberg News
February 15, 2008
MUNI WATCH: More Insurer Fallout As Muni Auctions Fail,
Dow Jones Newswires
February 4, 2008
SEC Allows Auction-Rate Manipulators With Disclosure,
Bloomberg News
March 16, 2007
Securities and Exchange Commission Auction Censure,
May 31, 2006
— PDF (144k)
Securities and Exchange Commission Press Release,
May 31, 2006
— PDF (68k)
Citigroup, 14 Other Firms Settle Bond-Auction Probe,
Bloomberg News
May 31, 2006
Auction-Rate Violations Result in $13M Penalty,
Bond Buyer
June 1, 2006
— PDF (48k)
  
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