SEC Examiner Gets Deferred Prosecution Deal In Ethics Case

Law360, New York (February 24, 2014, 5:39 PM EST) -- U.S. Securities and Exchange Commission compliance examiner Steven Gilchrist has reached a deferred prosecution agreement in a criminal case alleging he violated ethics rules by holding stock in major Wall Street banks, according to a Monday court filing in New York federal court.

Federal prosecutors have agreed to enter into the agreement with Gilchrist but are awaiting the conclusion of an investigation into whether he can be supervised by the U.S. Probation Office during the period when the charges would be deferred, Assistant U.S. Attorney Martin...
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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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