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April 12, 2016
United States Securities and Exchange Commission v. Bassily
Case Number:
1:16-cv-02733
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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.
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January 03, 2018
Ex-ConvergEx Manager Settles SEC Fraud Suit With $1M Deal
The U.S. Securities and Exchange Commission said Wednesday that the former chief of ConvergEx Group LLC's transition management business has agreed to pay nearly $1 million as part of a deal settling claims he played a leading role in a scheme that allegedly bilked clients out of millions of dollars through hidden charges on their trades.
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