Jeffrey Kirkpatrick News Today

The issue of chief compliance officer (CCO) liability has long been debated; it has become a grave concern for CCOs, CEOs, and other C-suite executives who put on “too many hats” within...

The Securities and Exchange Commission (“SEC”) has recently brought several enforcement actions that directly or indirectly involved lawyers. These actions provide reminders to lawyers...

Commissioner Hester Peirce said an enforcement matter relating to a million-dollar fraud case fits a “sound” framework for charging compliance officers.

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges.

<p><span> write in support of the settled administrative proceeding against Hamilton Investment Counsel LLC (“HIC”) and Jeffrey Kirkpatrick.</span><span> Because Mr. Kirkpatrick was both a principal and the chief compliance officer (“CCO”) of HIC, the action against him merits close consideration.</span></p>

  The Jan. 8 candlelight vigil was the second time the advocacy group Stop Death on the Streets held the event. The group mourned the lives of 30 people who died while experiencing homelessness in 2020. Credit Melorie Begay/KLCC The advocacy group, Stop Death on the Streets held their 2nd annual vigil in Eugene on Friday Jan. 8. About 100 people came to mourn the lives of homeless people who died in the past year.  Activist Chelsea Swift said in a speech during the vigil that the community ha...