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  1. www.complianceweek.com › regulatory-enforcementSEC’s Peirce weighs CCO enforcement case against liability ...

    Jul 5, 2022 · Commissioner Hester Peirce offered a preview in a recent statement regarding an enforcement action against the CCO of a formerly registered investment adviser. Jeffrey Kirkpatrick reached a settlement with the SEC published June 30 in which he agreed to pay a $15,000 penalty, cease and desist from future violations of securities laws, and be ...

  2. www.sec.gov › news › statementChief Compliance Officer Liability: Statement on In the ...

    Jul 1, 2022 · I write in support of the settled administrative proceeding against Hamilton Investment Counsel LLC (“HIC”) and Jeffrey Kirkpatrick. Because Mr. Kirkpatrick was both a principal and the chief compliance officer (“CCO”) of HIC, the action against him merits close consideration.

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  4. www.sec.gov › files › litigationHamilton Investment Counsel, LLC and Jeffrey Kirkpatrick

    Respondent Kirkpatrick was the Chief Compliance Officer and principal of Hamilton Investment Counsel, LLC (“HIC”), an investment adviser registered with the Commission. From October 2016 through October 2021, Respondent was also a registered representative associated with the broker-dealer used by HIC in its advisory business (“Broker ...

  5. thediwire.com › sec-charges-former-lpl-broker-withSEC Charges Former LPL Broker with Stealing $1.7 Million from ...

    Jul 5, 2022 · In separate settled administrative and cease-and-desist proceedings, the SEC charged Hamilton Investment Counsel LLC, the investment adviser Hollifield co-owned, and Jeffrey Kirkpatrick, its chief compliance officer, for failing to implement the firm’s policies and procedures by inadequately responding to numerous red flags surrounding ...

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    • Jeffrey Kirkpatrick MD, MBA - Greater Phoenix Area | Professional ...
    • Obituary for Jeffrey Alan Kirkpatrick | Paul R. Young Funeral Home
    • Obituary for Jeffrey Alan Kirkpatrick | Paul R. Young Funeral Home
    • Dr. Jeffrey Kirkpatrick, MD – Phoenix, AZ | Pediatrics

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  7. clsbluesky.law.columbia.edu › 2022/07/08 › secSEC Commissioner Peirce Discusses Chief Compliance Officer ...

    Jul 8, 2022 · This statement was issued on July 1, 2022, by Hester M. Peirce, commissioner of the U.S. Securities and Exchange Commission. I write in support of the settled administrative proceeding against Hamilton Investment Counsel LLC (“HIC”) and Jeffrey Kirkpatrick. [1] Because Mr. Kirkpatrick was both a principal and the chief compliance officer ...

  8. www.kurtalawfirm.com › blog › jeffrey-kirkpatrickJeffrey Kirkpatrick Allegedly Violated SEC Rules - Kurta Law

    If you worked with Jeffrey Kirkpatrick and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms.

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  10. www.imdb.com › name › nm3353663Jeffrey A. Kirkpatrick - IMDb

    Jeffrey A. Kirkpatrick is known for NCIS (2003). Add photos, demo reels Add to list. More at IMDbPro. Contact info. Agent info.

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