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Nutter achieves victory for portfolio manager in SEC investigation

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03.05.2012

In a significant victory for a Nutter client -- a star portfolio manager for a large national asset management firm -- the Securities and Exchange Commission closed its investigation of the portfolio manager without recommending any enforcement action. The SEC was investigating the client in connection with several trades made prior to public announcements of secondary offerings. Ian D. Roffman, a partner in Nutter’s Government Investigations and White Collar Defense practice and former SEC senior trial counsel, was lead counsel for the client.

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