William Uchimoto, who spent time running the China practice groups for Buchanan Ingersoll & Rooney and Stevens & Lee, said he was “shocked” to learn of the SEC’s civil securities fraud charges leveled against him Sept. 10.
Uchimoto, a former general counsel to the Philadelphia Stock Exchange, said everything he did in relation to the questioned Nasdaq listings was “perfectly correct” and done in conjunction with advice from Nasdaq staff.
‘Enforcement 40’ for 2020
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