April 24, 2014
A longtime U.S. Securities and Exchange Commission compliance examiner has agreed to resign after admitting that he knowingly made false statements about his personal stock holdings, criminal prosecutors revealed Tuesday.
February 24, 2014
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.
January 23, 2014
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.