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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 · July 1, 2022. 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 (“CCO”) of HIC, the action against him merits close consideration.
Apr 11, 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,...
Explore the filmography of Jeffrey A. Kirkpatrick on Rotten Tomatoes! Discover ratings, reviews, and more. Click for details!
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 · SEC Commissioner Peirce Discusses Chief Compliance Officer Liability | CLS Blue Sky Blog. By Hester M. Peirce July 8, 2022. I write in support of the settled administrative proceeding against Hamilton Investment Counsel LLC (“HIC”) and Jeffrey Kirkpatrick. [1] .
Jeffrey A. Kirkpatrick. Writer. Jeffrey A. Kirkpatrick is known for NCIS (2003). Add photos, demo reels Add to list. More at IMDbPro. Contact info. Agent info. Known for. NCIS. 7.8. TV Series. Writer. 2005 • 1 ep. Credits. IMDbPro. Writer. Previous. 1. NCIS. story by. teleplay by. 2005. 1 episode. Contribute to this page.
