A legal industry publication recently reported on developments in a high profile criminal case in the United States District Court for the Southern District of New York in which Eric Creizman is representing a CEO of a Broker-Dealer charged with obstructing an SEC regulatory audit. Pretrial motions for the defense are due in January and a trial is expected later this year.
Here is a link to the article in Law360 White Collar Crime: SEC Judge Dings Bharara’s Office For Emailed Stay Request – Law360
Below are links to previous press reports on the case:
FBI — CEO of Broker-Dealer Charged in Manhattan Federal Court with Obstructing Regulatory Examination by Producing False Invoices to SEC Exam Team and with Making False Statements and False Filings Related to Net Capital