U.S. Attorney Announces Charges against Former Investment Management Firm Employee for Obstruction of Justice and Perjury
The U.S. Attorney's Office for the Southern District of New York announced charges against a former investment management firm employee (the "employee") for obstruction of justice and perjury relating to an investigation by the SEC into potential violations of the federal securities laws.
According to the U.S. Attorney's office, when a representative of the SEC called the firm in an attempt to speak with the firm's President, the employee, on three occasions, answered the phone and pretended to be either the investment firm President or another employee.