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CCO Liability
Take in one more sign that there’s a new sheriff in town. A new decision by an SEC ALJ bars an adviser who has spent ...
Michael Breton: Commission bars former IA owner/CCO for defrauding clients through trade allocations
The Commission’s complaint alleged that, from at least January 2010 through March 2016, Breton defrauded at least 30 of SCM’s clients by allocating profitable trades ...
If you believe your CPO should be exempt from CFTC registration, the process begins by filing notice with the Commission (CPO/CTA Watch, May 28, 2012). ...
On multiple occasions between March 2012 and December 2014 (“the relevant period”), Jaypee had a series of failures relating to the firm’s minimum net capital ...
The counts of the criminal indictment to which Caplitz pled guilty alleged, inter alia, that Caplitz fraudulently induced clients to entrust their savings, investments and ...
In addition, regarding the same penny-stock transactions as well as others, Meyers Associates repeatedly violated Exchange Act Section 17(a), and Rule 17a-8 thereunder, by failing ...
More evidence has appeared that if you serve as CCO at a firm that’s alleged to have perpetuated a fraud, you can suffer an enforcement action ...
From at least June 2008 through 2015, Brakeman knew that as BBE’s sole owner and employee, he had directed, controlled, and coordinated BBE’s activities primarily ...
These proceedings arise because Susan Diamond, the Chief Compliance Officer of Saddle River Advisors, LLP (“SRA”), made untrue statements in multiple Forms ADV that she ...
The Commission’s Amended Complaint alleged that in 2013 and 2014 Haab fraudulently raised at least $15 million in two separate farm loan private offerings from ...