Tag: investment_adviser
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SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case
The SEC has moved for a final judgment by consent against Stephen Kenneth Leech II, former co-chief investment officer of Western Asset Management Company LLC, in its cherry picking case.
BusinessLaw EnforcementUSAFinancial MarketsLegalBanking Securities and Exchange CommissionKen LeechWestern Asset Management Company LLCcherry pickingfinal judgmentinvestment adviser
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SEC Charges Investment Adviser Zoe Financial Over Undisclosed Conflicts of Interest
The SEC announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts about conflicts of interest to clients and prospective clients.
BusinessLaw EnforcementUSAFinancial MarketsLegalBanking Securities and Exchange CommissionZoe Financial Inc.investment adviserconflict of interestsettled chargesNew Yorkdisclosure