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USA v. Gilchrist
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April 24, 2014
SEC Examiner Resigns, Admits He Veiled Stock Holdings
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.
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February 24, 2014
SEC Examiner Gets Deferred Prosecution Deal In Ethics Case
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.
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January 23, 2014
SEC Examiner Mulling Settlement Of Ethics Charges
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.