SEC Examiner Mulling Settlement Of Ethics Charges

Law360, New York (January 23, 2014, 12:10 PM EST) -- U.S. Securities and Exchange Commission compliance examiner Steven Gilchrist is in discussions with federal prosecutors to resolve a criminal case alleging he violated ethics rules by holding stock in major banks including Bank of America, according to a Tuesday court filing.

In the document, which is dated Jan. 17 but was made public on Tuesday, Assistant U.S. Attorney Martin Bell said the government and defense counsel “have had discussions and communications regarding a possible disposition of this case, but the negotiations have not been completed.”...
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Case Information

Case Title

USA v. Gilchrist

Case Number



New York Southern

Nature of Suit

Date Filed

November 17, 2013


Government Agencies

UK Financial Services

UK Financial Services

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