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BNY Mellon settles case with the SEC over its $14 billion CLO holdings
7 years ago
BNY Mellon has agreed to pay a $6.6 million fee in order to settle charges, which accused the firm of failing to properly account for $14 billion of CLOs on its balance sheet -
SEC can proceed with fraud case against Patriarch, rules appeals court
7 years ago
Lynn Tilton suffered another setback yesterday as an appeals court rejected a constitutional challenge to SEC administrative proceedings which accuse her of defrauding investors.
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