Close

Are you in compliance?

Don't miss out! Sign up today for our weekly newsletters and stay abreast of important GRC-related information and news.

×

Status message

Start your free, no obligation 5-day trial to continue exploring with full access.

American Pegasus Hires New Compliance Officer

Jaclyn Jaeger | December 28, 2010

American Pegasus, an investment advisory and fund operating company, recently announced the appointment of its new general counsel and chief compliance officer, Henry Wolfgang Carter. 

Carter has more than 21 years experience as an attorney and financial industry compliance expert. Prior to joining American Pegasus earlier this year, Carter served in various legal and compliance capacities at other financial services firms, including E*TRADE Securities, where he was vice president and chief compliance officer from 1997 to 2000. He also served as associate general counsel for E*TRADE Group from 2000 to 2001.

Carter's appointment follows a settlement that American Pegasus, along with its affiliated company, American Pegasus Investment Management, reached with the Securities and Exchange Commission over alleged violations of securities laws by the firms and three individuals formally affiliated with them. Neither the American Pegasus companies, nor the former individuals...

Buy this article for $49, or subscribe to Compliance Week for a month at $149 and get unlimited article access for 30 days.