CCO Liability

This firm settled with the SEC over allegations of a poor compliance shop and disclosure and best execution violations.

A week of high drama gripped legal eagles eager to see how the U.S. Supreme Court ended its term with several high profile decisions. The ...

An open letter to SEC Chair Mary Jo White urges that she take steps to loosen the noose around the neck of compliance officers. What ...

Five officials of a Detroit RIA, including the firm's CCO, stand accused of stealing $3.1 million from their retired police and firemen pensioners. The SEC ...

You may be familiar with Ted Urban's story (IA Watch, April 1, 2013) but may never have heard of Matthew Collins. His case is on ...

Lessons learned continue to come out of Ted Urban's story, the former general counsel at Ferris Baker Watts in Baltimore who faced being declared a ...

It took criminal authorities years to piece together the alleged fraud hatched by Brian Anthony Bjork, the former CEO/CCO of Select Asset Management ($52M in ...

A recent FINRA settlement with a small New York firm and its CCO highlights the need to respond promptly to the regulator's information requests - ...

Theodore Urban, the former general counsel at Ferris Baker Watts, battled efforts by the SEC Enforcement Division to sanction him for allegedly failing to reasonably ...

Here's a key perennial lesson to remember: fix deficiencies found in a prior exam.It's been stated many times before but received an exclamation point this ...