Keywords
investor, stock exchange, broker, compliance, broker-dealer, violation, securities, securities laws, SEC, Securities and Exchange Commision, Securities Exchange Act of 1934, sanction, employee, procedures, comply, enforcement, private litigation, supervisory mandate, federal securities regulation, brokerage compliance director, director, regulatory scheme, supervisor, breach of duty, attorney, supervisory structure, broker-dealer firm, investigation, compliance department, alleged violation, accountant, Division of Enforcement, division, brokerage house, In re Arthur James Huff, violator, section 15(b)(4), section 15(b)(6), In re Michael Tanenbaum, Commissioner Lochner, Commissioner Schapiro, Check, John Gutfreund, Salomon Brothers, Thomas W. Strauss John W. Meriwether, Donald M. Feuerstein, Paul Mozer, Government Trading department, chief legal officer, sanction, Lysiak, In re George J. Kolar, Administrative Law Judge, ALJ, James T. Kelly, Louis R. Trujillo, Merrill Lynch, Merrill Lynch Pierce Fenner & Smith Inc, Victor G. Matl, antifraud, antifraud provision, disciplinary power, subordinates, underlying securities laws violations, affiliation, violator, compliance officer, failure, supervise, liability, safe-harbor provision, failure-to-supervise, In re Albert Vincent O'Neal, duties, Dean Witter, front-line compliance officer, Donald Sheldon, excessive, mark-up, unreasonable reliance, branch manager, supervisory duty, training program, Remedies Act of 1990, secion 8A, Securities Act of 1933, Section 21C, cease-and-desist order, injunction, In re KPMG Peat Marwick LLP, egregious violation, special, ethical, professional, duties, bar, practicing, capacity, rule 102(e), Commission's Rules of Practice, engineer, mere, negligence, willful, scienter, role, schism, responsibility, responsibilities, Model Rule 1.6, confidential, confidentiality, Model Rule 1.13, trader, Spectrum Systems, morality, conscience, Paul F. Royce, audit, policy, procedure, red flag, allegation, irregularity, hierarchy, delineation, wrongdoing, seminar, written compliance directive, middle management, education, program, internal, hotline, assertion, Congress
Recommended Citation
Anthony Pirraglia,
A Tangled Web: Compliance Director Liability Under the Securities Laws,
8 Fordham J. Corp. & Fin. L. 245
(2003).
Available at: https://ir.lawnet.fordham.edu/jcfl/vol8/iss1/8