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Showing 1 - 2 of 2 results for "SEC Los Angeles Regional Office"

Former Western AM investment chief to receive final judgement

MATTHEW WAI  |  MONDAY, 12 OCT 2026
The Securities and Exchange Commission (SEC) has moved for a final judgement against the former co-chief investment officer of Western Asset Management, which could result in $147 million (US$103m) returned to harmed investors. The SEC is advancing ...

SEC charges duo over church-based fraud

JAMIE WILLIAMSON  |  FRIDAY, 5 MAY 2023
... church members, and while the two proclaimed their faith, they practiced lies and deception," SEC Los Angeles Regional Office director Michele Wein Layne said. "This action demonstrates our continued commitment to protecting retail investors, including ...
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