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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jeff Dale2023-06-22T16:08:00
The convicted former chief compliance officer at an unnamed New York-based investment adviser was barred from working in the industry by the Securities and Exchange Commission (SEC).
Jennifer Campbell was sentenced to three years in prison in February for wire fraud. She was ordered by the SEC on Wednesday to have no association with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating organization, according to an administrative proceeding.
Indicted in June 2022, Campbell pleaded guilty in November to misusing her access to client accounts to modify account settings and misappropriate client funds. In one example included in her indictment, Campbell sent a victim a falsified account statement showing a balance of approximately $148,000 when the account had a balance of about $90.
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News and analysis for the well-informed compliance or audit exec.
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Our lowest price ($1 per day) for one year.
Register for free
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2023-10-25T20:09:00Z By Aaron Nicodemus
Gurbir Grewal, head of the Enforcement Division at the Securities and Exchange Commission, outlined the scenarios in which the agency would charge a chief compliance officer for securities law violations.
2023-08-18T14:01:00Z By Kyle Brasseur
The Securities and Exchange Commission’s two Republican commissioners dissented from an agency order against transfer agent DST Asset Manager Solutions they deemed to be an example of regulation by enforcement.
2023-06-07T18:22:00Z By Kyle Brasseur
The Securities and Exchange Commission adopted two rules aimed at curbing potential misconduct in the security-based swaps market.
2024-07-26T19:18:00Z By Jeff Dale
RTX Corp., the parent company of Raytheon, disclosed in a public filing it has reserved $1.24 billion to resolve legacy legal matters with the Department of Justice, Securities and Exchange Commission, and Department of State.
2024-07-26T15:51:00Z By Aaron Nicodemus
The U.K. Financial Conduct Authority issued a fine of $4.5 million (3.5 million pounds) against a U.K.-based subsidiary of crypto platform Coinbase for providing services to high-risk customers in violation of FCA rules.
2024-07-26T13:36:00Z By Adrianne Appel
Admera Health agreed to pay more than $5.5 million to resolve allegations first brought by two whistleblowers that it paid kickbacks to third-party contractors, the Department of Justice said.
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