CCO Liability

The defendants improperly registered Bóveda with the Commission as an Internet IA

Walker solicited investors to purchase 1 Global securities; advised investors about the merits of the investments; and received commissions of approximately $393,000 that were transaction-based ...

Miller is the majority owner/CEO of PeachCap and also served as PCTA’s CCO

Siniscalchi was an associated person and Chief Compliance Officer of Indio Entertainment, an investment adviser registered in California as an exempt reporting adviser

David Chiueh wore multiple hats at Upright Financial Corp. ($68M in AUM) in East Hanover, N.J.—president, portfolio manager and chief compliance officer. A new SEC ...

Upright Trust maintained no written policies and procedures .... did not have any specific procedures on calculating the NAV, and there were no procedures designed ...

Requirement on CCO has SEC Commissioner Hester Peirce concerned about "undue pressures" being placed on CCOs

Several GC/CCOs tell RCW that they would separate the roles if they could

The Form ADV brochures failed to disclose information about an unpaid $208,700 judgment against Clark and Soteira in favor of a former client

Buttonwood and McGraw therefore had a financial conflict of interest with their clients—they had an incentive to select investments for clients that would allow Buttonwood ...