Douglas Cowgill, the firm's president and chief compliance officer, attempted to disguise the shortfall from SEC examiners by entering a fake trade in the firm's account records, according to the SEC complaint.
Advisory Firm Charged With Fraud; Allegedly Hid Client Losses
To continue, please sign in or become a member.
Join the Financial Planning
MEMBERSHIP IS FREE
- Access to essential information that independent advisors need to make informed decisions
- Exclusive E-Newsletters delivering the latest headlines to your inbox
- Access to white papers, web seminars, blogs, discussion boards, and CE exams
Have an account?
SIGN IN HERE