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Jul 5, 2022 · 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 limited from acting in a supervisory or compliance capacity for a period of five years.
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.
Sep 20, 2023 · In June 2022, Kirkpatrick entered into a cease-and-desist order with the Securities and Exchange Commission (SEC) for willfully aiding and abetting, and causing the investment adviser of which he was chief compliance officer and principal, to violate Section 206(4) of the Investment Advisers Act of 1940 and Rule 206( 4 )-7 thereunder.
On February 24, 2022, the Securities and Exchange Commission opened an investigation into Jeffrey Kirkpatrick regarding allegations related to Section 206 (4) of the Investment Advisers Act of 1940. This investigation and regulatory action are currently pending.
Background. From October 2016 through September 2021, Respondent Kirkpatrick served as the Chief Compliance Officer of HIC. In his role as Chief Compliance Officer, Kirkpatrick was responsible for administering HIC’s compliance program and, as provided in HIC’s compliance manual, for implementing the firm’s compliance policies and procedures.
Jul 8, 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.
May 28, 2024 · Holly Holm’s ex-husband is Jeff Kirkpatrick. Like Holm, Kirkpatrick was born and brought up in Albuquerque, New Mexico. His parents, Toni and Vicki raised him along with his two sisters,...
