Markets
SEC Seeks $3 Million Ken Leech Judgment in Allocation Case
The SEC seeks a $3 million penalty and permanent bars against former Western Asset co-CIO Ken Leech in its trade-allocation case.
SEC enforcementTag: SEC enforcement
Markets
Jefferies SEC Settlement Sets $650,000 Blue Sheet Penalty
Jefferies agreed to a $650,000 SEC settlement after inaccurate blue sheet submissions affected data for at least 1.2 million transactions.