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Securities and Exchange Commission v. McLellan
Case Number:
1:16-cv-10874
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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February 11, 2021
SEC's 'Boilerplate' Deal With Ex-State Street Exec Irks Judge
A Massachusetts federal judge said Thursday he wouldn't "rubber stamp" a judgment negotiated in a civil case between the U.S. Securities and Exchange Commission and a convicted former State Street Corp. executive that covers far more conduct than what he was found guilty of in his criminal case.
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December 08, 2020
SEC Asked Why Convicted State St. Exec's Deal Lacks A Fine
A Massachusetts federal judge refused to sign off on a judgment between a convicted former State Street Corp. executive and the U.S. Securities and Exchange Commission, telling both sides in a hearing Tuesday they need to convince him why the former bigwig should not be fined.
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May 13, 2016
Indicted Ex-State Street Exec Faces SEC Suit In Fee Row
The U.S. Securities and Exchange Commission hit an indicted former State Street Global Markets LLC executive with a civil suit Friday over an alleged scheme to charge customers at least $20 million in hidden markups on trading in U.S. and European securities.