By CW Staff2015-08-26T09:30:00
Globestar Industries, a company engaged in cannabis industry consulting, has named Christopher Plummer as chief compliance officer. Plummer's appointment comes at a time when the company is in the process of changing its name to Pineapple Express, with the intent to create a nationally branded chain of cannabis retail stores. ...
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2026-01-19T15:21:00Z By Aaron Nicodemus
Nominations for the 2026 Excellence in Compliance Awards are no longer being accepted. Look for finalists to be announced later in March!
2025-03-19T11:53:00Z By Adrianne Appel
An investment company and its founder, president, and chief compliance officer flagrantly kept violating mutual fund rules for multiple years after settling with the Securities and Exchange Commission, the SEC said in a complaint against the company.
2025-03-12T16:01:00Z By Adrianne Appel
Two executives at New York-based Momentum Advisors, including the firm’s chief compliance officer, allegedly misappropriated more than $220,000, the Securities and Exchange Commission said.
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