All Asset Management Unit articles
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ArticleEx-GPB Capital CCO avoids prison in SEC theft case
A former SEC examiner who used insider information about an ongoing fraud investigation to obtain the chief compliance officer job with private equity firm GPB Capital has been sentenced to nine months of home confinement.
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ArticleEx-GPB Capital CCO pleads guilty to stealing SEC information
A former SEC official facing federal felony charges for allegedly using confidential agency information to help him land the top compliance post at GPB Capital Holdings has pled guilty to a misdemeanor in federal court.
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ArticleIndictment: Ex-SEC official stole info to land CCO job
GPB Capital Holdings Chief Compliance Officer Michael Cohn faces multiple charges for allegedly disclosing unauthorized information accessed in his prior job at the SEC.
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Blog
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 ...
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Blog
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.
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Blog
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!