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Tag Archives: Collateralized Debt Obligation
SEC Settles With Aamer Abdullah Considering His Cooperation Under The SEC’s Enforcement Cooperation Initiative
SEC v. Aamer Abdullah, Case No. 10-cv-4957 (S.D.N.Y.). On November 9, 2012, the SEC announced a settlement with Aamer Abdullah in a case brought in June 2010. Abdullah was a portfolio manager with ICP Asset Management, LLC. According to the … Continue reading
Posted in Securities
Tagged Broker-Dealer, Collateralized Debt Obligation, Fraud, SEC, Securities Exchange Act
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SEC Charges Mizuho Securities USA With Misleading Investors By Obtaining False Credit Ratings for Collateralized Debt Obligation.
SEC v. Mizuho Securities USA Inc., Case No. 12-cv-5550 (S.D.N.Y); In the Matter of Alexander V. Rekeda, Admin. Proc. No. 3-14953; In the Matter of Xavier Capdepon and Gwen Snorteland, Admin. Proc. No. 3-14954; In the Matter of Delaware Asset Advisers … Continue reading
Securities Enforcement Blog 