Month: May 2017

The new Chairman continues to build out the senior staff, making key appointments. Specifically, the Chairman appointed: Jaime Klima, formerly co-chief of staff under Acting Chairman Piwowar, as his Chief Counsel; Lucas Moskowitz, formerly Chief Investigative Counsel of the U.S. …

This Week In Securities Litigation (Week ending May 19, 2017) Read More »

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Three traders from Nomura Securities International, Inc. went on trial in early May 2017 for overcharging client in trades involving residential mortgage backed securities or RMBS. The U.S. Attorney’s Office for the District of Connecticut claims the traders lied when …

SEC Charges Nomura Trades With Fraud Read More »

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