CCO Liability

Regulators have stated diligent CCOs need not worry about being named in an enforcement case. Here are three recent FINRA cases involving CCOs that target ...

Andrew Donohue has been responsible for legal and compliance functions at Goldman Sachs and Merrill Lynch Investment Managers. “I know how difficult your jobs can ...

All the signs of trouble were there if only CCO James Goodland had paid attention to them, according to a new enforcement settlement with the ...

Goodland failed adequately to respond to red flags concerning Richards’ conflicts of interest, his unusual trading in client accounts and his numerous emails with a Gatekeeper ...

You’ll find few cases brought by the SEC against a CCO stemming solely from his compliance role. And there is no trend targeting CCOs, added ...

The U.S. courts will be the next stop for four Timbervest ($1.3B in AUM) executives who have vigorously fought SEC fraud charges as they contest ...

That letter to SEC Enforcement chief Andrew Ceresney from the NSCP last month raising questions about cases targeting compliance officers will result in a D.C. ...

A new ALJ decision that finds fault with a CCO who argued he was just doing his job may well apply more pressure on SEC ...

From at least 2009 through 2012, while Arnett Waters was a registered representative associated with A.L. Waters Capital, he operated a fraudulent scheme through which ...

The attorney for The Robare Group ($160M in AUM) argues the SEC Enforcement Division exaggerated claims that his client’s ALJ victory in June could set ...