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: Securities Law Prof Blog

SEC Finds Trautman Wasserman CEO Participated in Market Timing, Late Trading of Mutual Funds

By Securites Lawprof

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The SEC found that Gregory O. Trautman, who was co founder, president, and chief executive officer of Trautman Wasserman & Company (TWCO), a registered broker dealer, willfully violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the...

Full post as published by Securities Law Prof Blog on December 16, 2009 (boomark / email).

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