CCO Liability

This matter concerns investment adviser BlackRock’s failure to disclose a conflict of interest involving the outside business activity of one of its portfolio managers. BlackRock ...

PageOne, a registered investment adviser, and E. Page, its sole owner and principal, hid serious conflicts of interest from their advisory clients in connection with recommending ...

Where we last left the saga of Sands Brothers Asset Management ($64M in AUM) in New York, the CCO had changed his mind about settling ...

In a settlement that seems to offer an object lesson to those caught in the regulatory crosshairs, Foothill Securities was censured and fined $210,000 by ...

Wyoming is the only state in the country that does not regulate investment advisers. That led three investment advisers to attempt to take advantage of ...

Compliance officers should take note of the FinCEN lawsuit filed last month against Thomas Haider, the former CCO at MoneyGram. The regulator seeks a court ...

An SEC ALJ has directed legal filings for next week after he revealed that the former CCO of Sands Brothers Asset Management ($64M in AUM) ...

An administrative proceedings release last week by the SEC indicates that Christopher Kelly, the former CCO at Sands Brothers Asset Management ($64M in AUM) in ...

You’ve no doubt struggled with the SEC’s complex custody rule but nothing like Sands Brothers Asset Management ($64M in AUM) in New York. Its troubles ...