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USA v. BLUMBERG et al
Case Number:
2:14-cr-00458
Court:
Nature of Suit:
Firms
Companies
Sectors & Industries:
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January 14, 2019
Ex-ConvergEx Exec's Deal Aids 3 Cooperators At Sentencing
Three former traders who cooperated against a former ConvergEx Group LLC executive were largely sentenced to probation Monday after prosecutors and a judge said it would be unfair to hand them longer sentences than the person they cooperated against.
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December 10, 2018
Ex-ConvergEx Exec Gets 1 Day In Prison
A former ConvergEx Group LLC executive who fought fraud charges related to hidden profits in client trades was sentenced in New Jersey federal court to one day in prison Monday, ending the case that almost saw a ruling on whether the company's counsel was a part of the prosecution team.
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August 07, 2018
Ex-ConvergEx Exec Could See No Jail Time After Plea
A former ConvergEx Group LLC executive who questioned corporate defense attorneys' role in the government's criminal investigation into his trading practices pled guilty to one count of conspiracy on Tuesday under an arrangement that puts a no-jail sentence on the table.
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May 14, 2018
Ex-DOJ Atty Says ConvergEx Counsel Helped Prosecute Exec
A former U.S. Department of Justice prosecutor testified in New Jersey federal court on Monday that outside counsel for brokerage ConvergEx Group LLC helped prosecute a former executive, as a judge mulls whether that assistance made the BigLaw attorneys part of the prosecution team.
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May 11, 2018
Does Corporate Cooperation Turn Counsel Into Prosecutors?
The U.S. Department of Justice has touted new rewards for companies to report employees' financial crimes, but can a company's cooperation be so extreme that its lawyers essentially become prosecutors? A New Jersey court is weighing that question now.
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March 13, 2018
WilmerHale Atty Doesn't Recall Giving Up Ex-ConvergEx Exec
A WilmerHale partner who represented the ConvergEx Group LLC board in a securities fraud investigation told a New Jersey federal judge Tuesday that he can't remember trying to get prosecutors to go after individuals and let the company go, as one indicted former executive claims he did.
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March 12, 2018
Ex-ConvergEx Exec Accuses DOJ Of 'Brady Laundering'
A former ConvergEx Group LLC executive accused of tacking secret profit margins onto securities transactions told a New Jersey federal judge on Monday that U.S. Department of Justice prosecutors flouted their so-called Brady obligation to hand over helpful evidence by outsourcing investigative work to the financial firm's lawyers.