November 22, 2021
A New York federal judge on Monday banned a former Sterne Agee managing director from trading securities and ordered him to pay a $100,000 penalty after the court found him liable for aiding and abetting a scheme to bribe a pensions manager.
October 26, 2020
A former Sterne Agee managing director lost his legal fight with the U.S. Securities and Exchange Commission on Friday when a New York federal judge found him liable for aiding and abetting a scheme to bribe a pensions manager.
July 16, 2020
Former Sterne Agee managing director John Paulsen told a Manhattan federal judge Thursday that he is not liable in a U.S. Securities and Exchange Commission suit claiming he tried to drum up extra business by helping to bribe a pension manager who oversaw $50 billion.
July 01, 2020
The U.S. Securities and Exchange Commission asked a Manhattan federal court to keep an analyst's upcoming bribery trial limited to his alleged cover-up of an $11,000 ski trip, saying the court should block an anticipated defense centered on the SEC's investigation and the misdeeds of co-conspirators.
April 20, 2020
A Manhattan federal judge has denied the U.S. Securities and Exchange Commission's request for summary judgment in a civil action accusing a former analyst for a broker-dealer of helping bribe a pension fund strategist with a lavish ski trip.
July 23, 2019
The U.S. Securities and Exchange Commission and a former research analyst squared off on Monday, arguing in competing motions over what facts are actually "undisputed" in the agency's claims that the analyst aided a pay-to-play scheme involving New York's public pension fund.
November 26, 2018
A former analyst at an unnamed broker-dealer has urged a New York federal judge to toss the U.S. Securities and Exchange Commission's suit accusing him of helping with a pay-to-play scheme involving a New York State Common Retirement Fund executive, arguing that he wasn't aware of the plot.
July 27, 2018
The U.S. Securities and Exchange Commission filed a complaint Thursday against a former higher-up at an unnamed broker-dealer, accusing him of providing gifts and entertainment to the New York State Common Retirement Fund's former director of fixed income in exchange for business.