Tag: USAO

Investment Banker Charged with Insider Trading by SEC, USAO

Investment banker Avaneesh Krishnamoorthy was supposed to report his outside brokerage account and that of his wife to his firm. He did not. He was supposed to report any transaction in either account to his firm. He did not. He

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SEC, USAO Charge IA Who Covered-up Referral Fee

The cover-up is virtually always worse than the underlying conduct. History is replete with instances where improper or even wrongful conduct was severely aggravated by an effort to conceal the conduct. That is precisely the case of former investment adviser

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