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U.S. Securities and Exchange Commission v. Stoker

  1. July 31, 2012

    Ex-Citigroup Exec Stoker Beats SEC Fraud Claims

    A jury on Tuesday rejected U.S. Securities and Exchange Commission civil fraud claims against former Citigroup employee Brian Stoker, who was accused of helping to package and sell a collateralized debt obligation that the bank secretly bet against.

  2. July 30, 2012

    Atty Says SEC Ignored Truth In Case Against Citigroup's Stoker

    The U.S. Securities and Exchange Commission ignored a raft of "inconvenient details" to build its case that ex-Citigroup Inc. executive Brian Stoker misled investors about a doomed collateralized debt obligation, Stoker's lawyer argued Monday as jurors prepared to deliberate.

  3. July 27, 2012

    SEC Presses Citigroup's Stoker On Handpicked CDO Assets

    The U.S. Securities and Exchange Commission pressed Brian Stoker at trial Friday on the former Citigroup Inc. collateralized debt obligation structurer's role in selecting assets to be included in an ill-fated CDO that Citigroup created and bet against without warning investors.

  4. July 26, 2012

    CDO Not Made To Fail, Citigroup's Stoker Tells Jury

    Ex-Citigroup Inc. executive Brian Stoker told jurors on Thursday that he did not build a collateralized debt obligation to fail, taking the stand in his defense in a U.S. Securities and Exchange Commission lawsuit over his role in the doomed financial product.

  5. July 16, 2012

    Citigroup's Stoker Misled Investors, SEC Tells Jury

    Ex-Citigroup Inc. executive Brian Stoker misled investors in the marketing of collateralized debt obligations the bank allegedly bet against, a U.S. Securities and Exchange Commission lawyer told a jury Monday, launching a trial against the defendant.

  6. July 10, 2012

    Judge Lets SEC's Fraud Claims Proceed Against Ex-Citi Exec

    A New York federal judge on Tuesday allowed the U.S. Securities and Exchange Commission's suit against ex-Citigroup Inc. executive Brian Stoker to proceed to trial, finding there was genuine dispute over whether he had used certain misstatements in marketing materials related to securities the bank had bet against.

  7. July 06, 2012

    Ex-Citi Exec Fights SEC's Leading Question Request For Trial

    An ex-Citigroup Inc. executive accused by the U.S. Securities and Exchange Commission of marketing securities the bank had bet against asked a judge Friday to prohibit the agency from asking leading questions of witnesses at his upcoming trial.

  8. April 05, 2012

    Citi Can't Claim Privilege On Advice Used As Defense: SEC

    The U.S. Securities and Exchange Commission told a federal judge Thursday that a former Citigroup Inc. executive sued for allegedly marketing a $1 billion collateralized debt obligation Citigroup bet against can't use legal advice as a defense while Citigroup calls relevant correspondence privileged.

  9. February 15, 2012

    Ex-Citi Exec Can't Shake SEC Suit Over Doomed CDO

    A New York federal judge on Tuesday denied a former Citigroup Inc. executive's bid to dismiss a U.S. Securities and Exchange Commission suit alleging he marketed an ill-fated $1 billion collateralized debt obligation the bank had bet against.

  10. January 25, 2012

    Ex-Citi Exec Says Lack Of Payday Kills SEC's CDO Case

    An ex-Citigroup Inc. executive on Wednesday asked a New York federal judge to toss a U.S. Securities and Exchange Commission suit that claims he marketed a collateralized debt obligation the bank had shorted, arguing he made no money from the alleged wrongdoing.

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