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Large Firms

Nov. 12, 2009

SEC Seeks Lawyer's Drafts

Federal regulators subpoenaed Nixon Peabody and a former partner as part of an inquiry into whether a broker improperly transferred client funds into his personal account, court records show.

By Rebecca U. Cho

Daily Journal Staff Writer

LOS ANGELES - The Securities and Exchange Commission subpoenaed law firm Nixon Peabody and a former partner as part of an investigation into whether a broker improperly transferred client funds into his personal account, court records show.

The agency is seeking documents drafted by the lawyer, David M. Tamman, as part of a $20 million debenture offer by the broker's firm, and a...

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