Litigation: SEC Vs. John A. Paulsen - SEC Wins Virtual Bench Trial Against Analyst
October 28, 2020
October 28, 2020
WASHINGTON, Oct. 28 -- The Securities and Exchange Commission issued the following litigation release (No. 18-civ-6718; S.D.N.Y. filed July 26, 2018):
On October 23, 2020, Judge Paul G. Gardephe of the United States District Court for the Southern District of New York found that John A. Paulsen, a former managing director and fixed income research analyst at a registered broker-dealer, aided and abetted a pay-to-play scheme involving the New York State Common Retirement Fund. The 3- . . .
On October 23, 2020, Judge Paul G. Gardephe of the United States District Court for the Southern District of New York found that John A. Paulsen, a former managing director and fixed income research analyst at a registered broker-dealer, aided and abetted a pay-to-play scheme involving the New York State Common Retirement Fund. The 3- . . .