CCO Liability

Blue Ocean’s internal policies and procedures established that Winkelmann, as Blue Ocean’s CEO and CCO, was responsible for Blue Ocean’s compliance program. During the relevant ...

TPGS failed to ensure that client securities were maintained by a qualified custodian. For example: (1) paper stock certificates for certain securities purchased by IPE ...

If you follow professional sports, you’ll recognize some of these names. Late one night, retired professional basketball player Dikembe Motumbo went to use his American ...

Nearly 100 letters came into the SEC by the time it closed the comment period March 28th for its derivatives proposal that was released late ...

SEC commissioners unanimously agreed: Former Stanford Financial Group CCO Bernerd Young displayed “obvious unfitness for employment in the securities industry” in helping to perpetrate Stanford's ...

In its Complaint, the Commission alleged that Han, who worked as an associate in Goldman Sachs' compliance department, traded on confidential information contained in e-mails ...

For years, Robert Lansing Hicks wore multiple hats at Finance 500, an Irvine, Calif., brokerage he started in 1982. A recent settlement with FINRA suggests ...

In a case that could have had broad ramifications if it turned out the other way, a former CCO has lost his bid to have ...

Marco, MIM’s chief executive officer (“CEO”) and chief compliance officer (“CCO”), charged certain of the firm’s clients advisory fees that were calculated in a manner different ...

The emotional strain caused by taking on the SEC was seen at IA Watch’s IA compliance conference last week when Mark Robare, owner/CCO at The ...