Judy K. Wolf – Compliance Building

A Win for Compliance Officers

Doug Cornelius August 10, 2015August 10, 2015 Compliance Programs [+]

Judy Wolf did a bad thing. During an insider trading investigation she fudged some documents. The Securities and Exchange Commission investigated the insider trading matter and Ms. Wolf’s log of her review. The fudging was discovered. She was fired and the SEC brought an enforcement against her. There is some good news from that bad … Read more »

Don’t Forge Documents You Give to SEC Investigators

Doug Cornelius October 16, 2014October 15, 2014 Compliance Programs [+]

You’re bound to make a mistake. Don’t make the mistake even worse by faking a document you submit to the Securities and Exchange Commission in order to cover your original mistake. Back in 2012, the SEC brought charges against Waldyr Da Silva Prado Neto, a citizen of Brazil who was working for Wells Fargo in … Read more »