- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Fiat Chrysler Automobiles recently announced several key changes to its leadership team, effective immediately, including the appointment of a new compliance officer.
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Investment firm Vanderbilt Financial Group announced the promotion of Steve Howe to the position of chief compliance officer.
A lack of supervision and internal controls at Morgan Stanley Smith Barney allowed four of its investment advisers to steal millions from customers before the behavior was detected, the SEC said in charging the firm.
A defamation lawsuit filed by a whistleblower against USAA, which a Florida judge recently dismissed on a technicality, revealed in public court records an estimated 400,000 violations of the Military Lending Act by USAA Federal Savings Bank (USAA Bank), an indirect wholly owned subsidiary of USAA.
