Skip to Primary Navigation

Skip to main content

SEC says former CCO modified records pertaining to agency examination

Image of some file folders.
Photo: Paul Chesne/Michael Ochs Archives/Getty Images

Julie DiMauro

2 min read
 Click to share on Facebook (Opens in new window/tab) Click to share on Twitter (Opens in new window/tab) Click to share on LinkedIn (Opens in new window/tab) Click to share on WhatsApp (Opens in new window/tab)

Ballek did not admit wrongdoing in connection with the regulator’s claims she modified company records that were part of an SEC examination.

In an administrative cease-and-desist order, former CCO Suzanne Ballek consented to FINRA’s findings without admitting any wrongdoing in connection with the regulator’s claims that she modified corporate records pertaining to an SEC examination.

Charges revolved around claims that she altered the approximately 170 forms she handed over to the SEC

She

, , , , , ,

Get full access, free for a month

This is a Premium article. Start your 28-day free trial to continue reading and access all content on GRIP – no payment details required.

Start free trial Sign in

What’s included:

  • Every new article, plus our 5,000+ archive
  • Daily regulatory insight and guidance
  • Exclusive interviews and in-depth analysis
  • Coverage of industry-leading events and conferences
  • All podcasts and videos, featuring industry experts
  • The full set of Rules Navigator tools
  • An ad-free experience