Go to Wolters Kluwer VitalLaw.comGo to Wolters Kluwer VitalLaw.com
VitalLaw®
  • Find answers to your questions
  • Log in to access your subscriptions
In depth. On point.
In depth. On point.
  • Home
  • Legal Directory
  • Home
  • Legal Directory
In depth. On point.
  • Articles
    • Articles
  • Law Firms
    • Law Firms
  • Organizations
    • Organizations
    • FRAUD AND MANIPULATION—N.D. Ill.: Sprout Social will face fraud suit over ‘upmarket‘ shift
    • CFTC NEWS AND SPEECHES—Commission issues no-action letter for DCMs converting perpetual futures
      • You have 1 more complimentary views available this month. Log in if you are already a customer
    • FEDERAL PREEMPTION—7th Cir.: District court should’ve blocked Wisconsin from enforcing gambling laws, argues Kalshi as amicus
      • You have 1 more complimentary views available this month. Log in if you are already a customer
    • FRAUD AND MANIPULATION—S.D.N.Y.: Former CIO of Western Asset consents to final judgment and pleads guilty
      • You have 1 more complimentary views available this month. Log in if you are already a customer
    • LAW FIRM PERSPECTIVES—Shadow AI and SEC Disclosure: What Your Public Company Needs To Know
      • You have 1 more complimentary views available this month. Log in if you are already a customer
  • Articles
    • Articles
  • Law Firms
    • Law Firms
  • Organizations
    • Organizations

    Securities Regulation Daily Wrap Up, FRAUD AND MANIPULATION—S.D.N.Y.: Former CIO of Western Asset consents to final judgment and pleads guilty, (Oct 7, 2026)

    By R. Jason Howard, J.D.

    The guilty plea for obstructing justice carries a five-year maximum prison sentence.

    The former Chief Investment Officer of registered investment adviser Western Asset has consented to a final judgment in the SEC case against him and he plead guilty t ...

    © 2026 CCH Incorporated and its affiliates and licensors. All rights reserved.

    • Manage Cookie Preferences
    • Privacy Statement
    • Terms of Use