Tag: misappropriation

This Week In Securities Litigation (Week ending Oct. 27, 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

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Private Equity Partner Charged For Defrauding Funds

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

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