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SEC Hits Former Merriman General Counsel and CEO for Fraud on Their Watch
The government is making the former GC and CEO of investment bank Merriman Curhan Ford pay for the sins of a rogue banker. Former GC Christopher Aguilar and CEO Jon Merriman, as well as the firm, settled SEC charges that they failed to properly supervise David Cacchione, who pleaded guilty to fraud in March for e-mailing customer accounts to a fraud artist. The SEC did not find that Aguilar and Merriman participated in the fraud, but the SEC concluded the two senior executives should have done more to prevent it.Trending Stories
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