SEC official: some try to delay settlements during leadership transition


David Glockner, SEC, private equity, law
  • Shops try and take advantage of transition periods
  • Try and delay settlement to get better deal
  • Practice is not wide-spread, SEC official says
Some firms have attempted to delay settling with the SEC on enforcement issues as the agency transitions to new leadership, said David Glockner, director of the Chicago regional office. Buyouts reported in April that some GPs were delaying settlements with ...

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