Tagged with "cover up"

SEC fines Firm and its CCO for Failure to Supervise and Cover-Up

Posted on September 21st, 2020 at 11:45 AM
SEC fines Firm and its CCO for Failure to Supervise and Cover-Up

New-York based adviser and broker-dealer Gilder Gagnon Howe & Co. (“GGH”), along with its CCO Bonnie M. Haupt, have been fined more than $1.7 million by the U.S. Securities and Exchange Commission (“SEC”).

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