All United States articles – Page 18
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US Capital Global names global CCO
US Capital Global announced the appointment of Pankaj Vashisth as partner and global chief compliance officer.
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Corza Medical appoints compliance chief
Corza Medical announced the appointment of Jason Abair as its new vice president, legal & chief compliance officer.
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Verisma names general counsel
Health information solutions provider Verisma welcomed Becca Mix as general counsel.
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DNSFilter promotes GC to legal chief
Content filtering and threat protection service DNSFilter promoted its General Counsel Lauren Romer to chief legal officer.
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Cellares appoints general counsel
Cellares, a leader in cell therapy manufacturing, announced the leadership appointment of Jonathan Butler as general counsel and corporate secretary.
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Waterfall Asset Management names GC, compliance chief as partner
Waterfall Asset Management announced that its Chief Operating Officer, General Counsel, and Chief Compliance Officer Kenneth Nick has become partner in the firm.
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Amherst appoints general counsel
The Amherst Group, a real estate investment, development and operating platform, announced the appointment of Peter Campbell as general counsel.
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News BriefSEC charges Kubient 'gatekeepers' with failing to stop CEO's AI fraud
Gatekeepers including chief financial officers and the chair of the audit committee have a responsibility to shareholders to report fraud wherever they find it–especially when that fraud involves an artificial intelligence tool meant to combat fraud.
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News BriefSEC nets $1.3M in off-channel comms sweep against municipal advisory firms
Fines for off-channel communications use by employees just keep on coming, with 12 municipal advisory firms fined a total of $1.3 million in the latest Securities and Exchange Commission sweep.
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News BriefFINRA fines Wells Fargo unit $3M for repeatedly pushing ‘unsuitable’ investments
A Wells Fargo subsidiary will pay nearly $3 million to settle allegations that it failed to properly supervise an employee attempting to sell unsuitable investment products to retail investors–the fifth time it has been penalized for similar supervisory failings since 2020.
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PremiumChinese regulators impose six-month ban, $62M fine on PwC’s China unit
Chinese authorities banned PwC’s Chinese unit from performing audits in the country for six months, labeling the subsidiary’s flawed audit work as complicit in the failure of giant property developer Evergrande.
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News BriefSEC charges three Medly execs with fraud for investment scheme
Former executives of Medly, an online pharmacy that is now shuttered, have been charged by the Securities and Exchange Commission with defrauding investors.
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News BriefWells Fargo agrees with OCC to shore up BSA/AML, sanctions program deficiencies
The Treasury Department’s Office of the Comptroller of the Currency ordered Wells Fargo to make “comprehensive corrective actions” to its Bank Secrecy Act/anti-money laundering and U.S. sanctions programs, along with receive permission from the OCC to offer new products and services or enter new geographic markets with “medium or high” ...
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News BriefCFPB orders TD Bank to pay $28M for sending false info to credit agencies
TD Bank has been ordered to pay $27.7 million and implement compliance measures, for providing inaccurate, negative credit information to credit agencies about tens of thousands of its customers and taking too long to fix the errors, the Consumer Financial Protection Bureau said.
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PremiumNorfolk Southern fires CEO, CLO for affair that violated company policies
Norfolk Southern Corp., the railroad still cleaning up the environmental and financial damages caused when one of its trains derailed in a small Ohio town, has fired its top executive and chief legal officer after concluding they had an affair that violated company policies.
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Sabert adds sustainability chief
Sabert Corporation, a leading global manufacturer of innovative and sustainable food packaging solutions, announced the appointment of Richa Desai as chief sustainability and strategy officer.
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Figure Technology Solutions names first CLO
Figure Technology Solutions announced the appointment of Ronald Chillemi as its first chief legal officer and corporate secretary.
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Everlaw welcomes chief legal officer
Everlaw, a cloud-native ediscovery solution, announced the appointment of Gloria Lee to the position of chief legal officer.
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TriNet announces chief legal officer
Human resources solutions provider TriNet announced the appointment of Sidney Majalya as senior vice president, chief legal officer and secretary, effective Sep. 16.
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Aircastle appoints chief risk officer
Aircastle Limited, which acquires, leases and sells commercial jet aircraft to airlines, appointed David Odlum as chief risk officer, effective Dec. 1.