美国证券交易委员会（SEC）寻求对前西方资产公司共同首席投资官肯·李奇（Ken Leech）作出最终判决，涉及其在“挑选案”（Cherry Picking Case）中的行为。
美国证券交易委员会已要求对前西方资产首席投资官肯·利奇（Ken Leech）进行最终判决，指控其涉及多年的挑选交易方案，寻求300万美元的罚款和禁止担任董事或高级管理人员的禁令。
为什么重要. 投资顾问有义务为其客户提供最佳利益，本案凸显了未能做到这一点的后果。
深度阅读深度解读
01
证据
- SSEC Press Releases监管机构2026-10-07 04:30
The Securities and Exchange Commission today moved for entry of a final judgment by consent against Stephen Kenneth Leech II, the former co-chief investment officer of registered investment adviser Western Asset Management Company LLC, whom the SEC previously charged with a multi-year cherry-picking allocation scheme.
- SSEC Press Releases监管机构2026-10-07 04:30
Without admitting the allegations in the SEC’s complaint, Leech consented to entry of a final judgment, subject to court approval, that would order him to pay a $3 million penalty, impose an officer-and-director bar and permanently enjoin him from violating antifraud provisions of federal securities laws. Leech also agreed to a forthcoming associational bar against him.
- SSEC Press Releases监管机构2026-10-07 04:30
Leech consented to entry of a final judgment, subject to court approval, that would order him to pay a $3 million penalty
- SSEC Press Releases监管机构2026-10-07 04:30
permanently enjoin him from violating antifraud provisions of federal securities laws
- SSEC Press Releases监管机构2026-10-07 04:30
ordering the firm to pay a $100 million civil penalty
- SSEC Press Releases监管机构2026-10-07 04:30
In June 2026, the Commission instituted settled public administrative proceedings against Western Asset, ordering the firm to pay a $100 million civil penalty