By CW Staff2015-10-02T14:45:00
Atterocor, a drug development company, has appointed Jeffery Brinza as senior vice president, administration and general counsel. Brinza joins Atterocor from RGIS, a Blackstone portfolio company, where he was general counsel, secretary and chief compliance officer. More inside.
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2026-01-19T15:21:00Z By Aaron Nicodemus
Back for its seventh year, Compliance Week’s Excellence in Compliance Awards seek to honor the CCOs, compliance programs, trail-blazers, industry veterans, mentors and up-and-coming professionals who set the standard for compliance in 2026.
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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.
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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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