- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jaclyn Jaeger2014-10-16T15:30:00
2015-08-10T15:30:00Z By Jaclyn Jaeger
A former compliance officer of Wells Fargo Advisors who faced an enforcement action by the Securities and Exchange Commission last year for allegedly altering a document before it was provided to the SEC during an investigation has won dismissal of her case. “Wells Fargo clearly had much deeper and more ...
2015-02-06T09:30:00Z By CW Staff
Wells Fargo Advisors, with $1.4 trillion in client assets, has named Jim McHale as chief compliance officer. His appointment follows an administrative proceeding instituted by the Securities and Exchange Commission in October against Wells Fargo's former compliance officer for allegedly altering a document before it was provided to the SEC ...
2025-07-02T18:31:00Z By Aaron Nicodemus
Emerging enforcement priorities of the U.S. Department of Justice’s health care fraud division align with the Trump administration’s emphasis on prosecuting transnational criminal organizations and ending opioid trafficking.
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