CCO Liability

These violations were accompanied by compliance breakdowns—LKL did not conduct requisite annual reviews and failed to implement its policies requiring full disclosure of Love’s outside ...

LaPeruta, formerly Southwind’s Chief Compliance Officer (“CCO”), willfully aided and abetted and caused Southwind’s violations. LaPeruta knew of Southwind’s deficiencies based on specific information provided ...

McClure, repeatedly invested advisory clients' funds in risky securities that generated hundreds of thousands of dollars in undisclosed mark-ups for Westport and resulted in more ...

These proceedings arise out of Respondents’ failure reasonably to supervise Michael Donnelly (“Donnelly”), the former President, CEO and CCO of Coastal Equities and Coastal IA, ...

The SEC alleges that John Rogicki, managing director and chief compliance officer of Train Babcock Advisors LLC, has been stealing funds from the charity for ...

The Commission’s complaint alleged that, from October 2005 to October 2007, Preston recommended that Life Wealth’s clients invest $6.9 million in unsecured promissory notes issued ...

He carried out his fraudulent scheme by trading in an omnibus account and delaying allocation of those trades to a specific account until he had ...

If you’ve hired David Osunkwo to provide compliance services, you’ll want to search for an alternative – at least for the next year.   That’s ...

As a result of the conduct described above, Osunkwo caused Aegis Capital’s violations of, Section 204 of the Advisers Act and Rule 204-1(a)(1) thereunder, which ...

Wilson registered Black Diamond with the Commission as an investment adviser. In the initial Form ADV registration statement Wilson signed on Black Diamond’s behalf—as its ...