CCO Liability

Davis, acting on behalf of himself and DWM, engaged in conduct in violation of the South Carolina Uniform Securities Act of 2005 when he recommended ...

Terracciano was serving as Aegis’ AML CO, Aegis failed to file Suspicious Activity Reports (“SARs”) on hundreds of transactions when it knew, suspected, or had ...

The count to which Erb pled guilty alleged that Erb raised over $5 million from advisory clients, telling them that he would only invest their ...

Chief compliance officers can take heart in the recent words of new SEC Commissioner Hester Peirce. In remarks at the 50th annual Rocky Mountain Securities ...

Chardan, a registered broker-dealer, failed to file Suspicious Activity Reports (“SAR” or “SARs”) when it knew, suspected, or had reason to suspect that certain penny ...

The Commission’s complaint alleged that, from at least March 2012 until January 2014, in connection with the sale of private investment fund membership interests, Khalfani ...

Arlington, a registered investment adviser, issued misleading advertisements about its investment performance in written communications to clients and prospective clients and in weekly radio broadcasts ...

These proceedings arise out of Clayborne’s improper registration with the Commission as an investment adviser, as well as its violation of a Commission rule concerning ...

In addition, the complaint alleged that Mohlman, directly and through MAM, LLC and MAMF: 1) from 2012 to 2014, improperly used Fund II’s assets to ...

It would be fair to declare John Rogicki as a CCO who went bad. The former compliance officer at Train, Babcock Advisors ($434M in AUM) ...