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Editors

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Harry Cassin
Publisher and Editor

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Andy Spalding
Senior Editor

Jessica Tillipman FCPA Blog

Jessica Tillipman
Senior Editor

WILLIAM B.F. STEINMAN

Bill Steinman
Senior Editor

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Richard L. Cassin
Editor at Large

Elizabeth K. Spahn

Elizabeth K. Spahn
Editor Emeritus

Cody Worthington

Cody Worthington
Contributing Editor

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Julie DiMauro
Contributing Editor

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Thomas Fox
Contributing Editor

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Marc Alain Bohn
Contributing Editor

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Bill Waite
Contributing Editor

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Shruti J. Shah
Contributing Editor

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Russell A. Stamets
Contributing Editor

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Richard Bistrong
Contributing Editor

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Eric Carlson
Contributing Editor

Posts Tagged: cease and desist order

SEC sanctions chief compliance officer for failing to stop insider-trading scheme

Julie DiMauro June 17, 2014

The SEC sanctioned the former president and chief compliance officer of Private Capital Management Inc. for failing to stop an insider-trading scheme involving an employee at his firm.

Thomas E. Meade was cited for supervisory failures at the Denver-based investment adviser after he agreed, without admitting or denying the SEC’s findings, to be censured and barred from serving in a compliance or supervisory capacity at a broker-dealer, transfer agent or investment advisory company.… Continue Reading

Fed faults Commerzbank foreign account controls

Julie DiMauro October 21, 2013

The U.S. Federal Reserve said last week it was requiring Commerzbank AG in Germany and its New York branch to improve compliance with federal and state anti-money laundering (AML) laws.

The Fed action didn’t involve allegations of corruption or specific charges.… Continue Reading