March 24, 2021
A former U.S. Securities and Exchange Commission staffer who admitted to stealing confidential information from the agency dodged prison time Wednesday when a New York federal judge sentenced him to nine months of home confinement.
March 16, 2021
The federal government has recommended a prison sentence of up to six months for a former U.S. Securities and Exchange Commission staffer who pled guilty last fall to improperly accessing confidential information about an investigation into a private equity firm that he later joined.
January 04, 2021
A New York federal judge on Monday postponed sentencing for a former U.S. Securities and Exchange Commission staffer who pled guilty to improperly accessing information about an investigation into a private equity firm before leaving to join the company, granting the delay over COVID-19 concerns and expected disputes on sentencing guidelines.
September 08, 2020
A former U.S. Securities and Exchange Commission staffer accused of improperly accessing information about a pending investigation into a private equity firm before he left to join the company copped Tuesday to a misdemeanor count of stealing government property.
September 02, 2020
A New York federal judge refused a last ditch bid by prosecutors to delay a criminal bench trial of a former Securities and Exchange Commission staffer accused of pilfering information about a pending investigation into a private equity firm before he left to join the company.
August 27, 2020
Despite prosecutors' objections, a New York federal judge granted a rare criminal bench trial to a former compliance examiner accused of stealing information from the U.S. Securities and Exchange Commission.
August 10, 2020
A former compliance examiner accused of stealing information from the U.S. Securities and Exchange Commission sought a rare criminal bench trial over prosecutors' objections on Monday, saying it is the only way to hold a speedy trial during the pandemic.
April 30, 2020
A New York federal judge has postponed the trial of a former U.S. Securities and Exchange Commission compliance examiner accused of breaching classified government computer networks to score a job with a private equity firm, basing the decision on COVID-19 concerns.
October 23, 2019
The chief compliance officer at New York-based private equity firm GPB Capital pled not guilty Wednesday in a case alleging that he abused his prior position at the U.S. Securities and Exchange Commission to gather information about an investigation into the firm.