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SEC says former CCO modified records pertaining to agency examination

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Photo: Paul Chesne/Michael Ochs Archives/Getty Images

Julie DiMauro

2 min read
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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

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