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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
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
