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Chief Compliance Officer

Former Compliance Officer Faces up to 20 years in Prison

By Tom Costello of Costello Law Group  The Securities and Exchange Commission (SEC) has charged William Quigley, a former chief compliance officer of Westbury, New York based brokerage firm Trident Partners, Ltd, with fraud. According to the SEC, Quigley solicited foreign investors to invest in well-know companies along with a few start-ups and […]

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