Month: October 2017

In the U.K. three F.H. Bertling executives were sentenced on corruption charges. An HSBC senior executive based in London was convicted by a New York jury for front running a client in the currency markets. The Commission issued no action …

This Week In Securities Litigation (Week ending Oct. 27, 2017) Read More »

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A senior partner at private equity giant Apollo Management, L.P. was named as a defendant in a Commission enforcement action for misappropriating over $290,000 by improperly charging personal expenses to funds he managed at the firm. Defendant Mohammed Ali Rashid …

Private Equity Partner Charged For Defrauding Funds Read More »

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