‘Enforcement 40’ for 2020
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By Securities Docket on June 29, 2016, 3:29 pm
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 global head of compliance. via SEC’s Dabney O’Riordan […]
By Securities Docket on June 29, 2016, 9:24 am
Wall Street’s top cop has charged the general counsel of a Texas-oil and gas company with violating a bevy of securities laws, including dropping almost $40,000 of company funds in a four-day period in 2014 at a Dallas gentlemen’s club. Jeremy Wagers, general counsel chief operating officer of Breitling Energy Corp, faces charges that he violated anti-fraud and reporting provisions […]