Year: 2016

The Manhattan U.S. Attorney’s Office secured a guilty plea in a stock manipulation case from a career securities law violator. The guilty plea is the fourth conviction for defendant John Galanis. U.S. v. Galanis, No. 1:15-cr-00643 (S.D.N.Y.). The case centers …

Career Securities Law Violator Pleads Guilty To Manipulation Read More »

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The Commission brought an action against a hedge fund operator who had previously been barred from the securities business and his son. The case centers on undisclosed conflicts and preferential withdrawal rights for the two individual defendants. SEC v. Conrad, …

Barred Securities Professional Charged By SEC Read More »

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