Additional Charges Announced in Case Involving Pre-Released ADRs
June 22, 2017
June 22, 2017
WASHINGTON, June 22 -- The Securities and Exchange Commission issued the following news release:
The Securities and Exchange Commission today announced additional charges in an enforcement investigation involving the improper handling of American Depositary Receipts (ADRs) by a Wall Street firm's securities lending desk.
The SEC's order finds supervisory failures by Anthony Portelli, a former managing director and head of operations at broker-dealer ITG Inc. Portell . . .
The Securities and Exchange Commission today announced additional charges in an enforcement investigation involving the improper handling of American Depositary Receipts (ADRs) by a Wall Street firm's securities lending desk.
The SEC's order finds supervisory failures by Anthony Portelli, a former managing director and head of operations at broker-dealer ITG Inc. Portell . . .