CCO Liability

The old phrase “do what you say you’re going to do” best describes why Eugene Mason, CCO at SFX Financial Advisory Management Enterprises ($15M in ...

The criminal information to which Palathinkal pled guilty alleged that in March 2014, he took an oath that he would testify truthfully in investigative testimony ...

The SEC settles with a firm and its CCO for failing to supervise a fraudster, along with not conducting promised reviews.

The SEC holds that Michael Quigley and Brian Quigley used virtually every “trick in the book” to defraud investors, sending phony account statements; using a ...

The CFO fudged the numbers and can stay in that position. But he dropped his title as CCO after the SEC said he violated the ...

This proceeding relates to certain inaccurate and incomplete information furnished by a registered investment adviser, Kornitzer Capital Management, Inc., and its chief financial officer and chief ...

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 ...