All Asset Management Unit articles

  • Blog post

    SEC's Dabney O'Riordan Named Co-Chief of Asset Mgmt Unit


    Yesterday, C. Dabney O’Riordan of the SEC’s Los Angeles Regional Office was named co-chief of the Division of Enforcement’s Asset Management Unit. She fills the co-chief role left vacant when Marshall Sprung left the agency in April 2016 to join Blackstone Group LP as a managing director and the firm's ...

  • Blog post

    AMU co-chief Marshall Sprung announces departure from SEC


    Marshall S. Sprung, co-chief of the SEC Division of Enforcement’s Asset Management Unit, is leaving the agency after 13 years of service. Sprung's co-chief, Anthony Kelly, will continue to lead the unit following Sprung’s departure later this month.

  • Blog post

    A closer look at the SEC's 'Analysis and Detection Center'


    Recent comments by an SEC official about five insider trading cases generated from the Enforcement Division's "Analysis and Detection Center" over the last year generated some questions in the blogosphere. Now Enforcement Action has some answers!