By Jaclyn Jaeger2019-10-23T19:44:00
GPB Capital Holdings Chief Compliance Officer Michael Cohn faces multiple charges for allegedly disclosing unauthorized information accessed in his prior job at the SEC.
2021-02-04T18:37:00Z By Aaron Nicodemus
GPB Capital Holdings allegedly defrauded more than 17,000 retail investors in a Ponzi-like scheme, then attempted to impede an employee from blowing the whistle on the illegal practices, according to the SEC.
2020-09-09T21:15:00Z By Aaron Nicodemus
A former SEC official facing federal felony charges for allegedly using confidential agency information to help him land the top compliance post at GPB Capital Holdings has pled guilty to a misdemeanor in federal court.
2019-01-10T11:00:00Z By CW Staff
GPB Capital Holdings has appointed Michael Cohn, who was formerly with the Asset Management Unit of the SEC’s Enforcement Division, as managing director and chief compliance officer.
2025-09-10T22:24:00Z By Adrianne Appel
California, Colorado, and Connecticut launched a joint enforcement sweep against businesses that fail to honor consumers’ online opt-out requests, the states announced Tuesday.
2025-09-09T16:51:00Z By Oscar Gonzalez
A Houston-based freight forwarder, Fracht FWO Inc., will pay $1.6 million for violating U.S. sanctions tied to Venezuela and Iran, according to the Treasury Department’s Office of Foreign Assets Control (OFAC). The fine comes as OFAC ramps up enforcement in recent months.
2025-09-08T14:27:00Z By Adrianne Appel
BNY, Citigroup, Santander, UBS, and two other financial institutions paid a total of $8.3M to settle separate compliance violations with the CFTC.
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