Month: July 2016

Just prior to the July 4th holiday a legend of the federal securities bar passed away. Irving Pollock, or Irv as he was known, was the father of the SEC’s Enforcement Division. A New Mexico jury handed the Commission a …

This Week In Securities Litigation (Week ending July 8, 2016) Read More »

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Andrew Caspersen, a former managing principal of Blackstone Group, and a partner at Park Hill Group which raises capital for private equity, pleaded guilty to one count of securities fraud and one count of wire fraud. U.S. v. Caspersen, No. …

Wall Street Executive Pleads Guilty In Investment Fraud Read More »

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