{"id":1651,"date":"2015-05-29T18:46:15","date_gmt":"2015-05-29T18:46:15","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2015\/05\/compliance_director_faces_sec"},"modified":"2022-03-22T14:25:33","modified_gmt":"2022-03-22T19:25:33","slug":"compliance-director-faces-sec","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/compliance-director-faces-sec\/","title":{"rendered":"Ex-Trident Partners Compliance Director Faces SEC Charges for Allegedly Defrauding Investors And Stealing Broker-Dealer Assets"},"content":{"rendered":"

\t\t\t\tThe U.S. Securities and Exchange Commission’s Enforcement Division has filed fraud charges against William Quigley, the former compliance director of Trident Partners Ltd. According to the regulator, Quigley solicited investors to purchase stock in start-ups that were supposedly about to go public, as well as well-known companies, but never actually bought the investments. Instead, he put their money in brokerage and bank accounts in the Philippines or used ATM machines to take out the funds. <\/p>\n

Quigley is accused of working with two brothers in the Philippines. He and his co-conspirators allegedly transferred over $500,000 of investor funds to the accounts in that country. <\/p>\n

The SEC claims that Quigley set up three brokerage accounts, including a secret account at Trident Partners, to conduct the scam. As compliance director, he was supposed to open and correctly route incoming correspondence and wires and report suspect transfers. Instead, he stole commission checks written to the brokerage firm and put the money in outside accounts. <\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The U.S. Securities and Exchange Commission’s Enforcement Division has filed fraud charges against William Quigley, the former compliance director of Trident Partners Ltd. According to the regulator, Quigley solicited investors to purchase stock in start-ups that were supposedly about to go public, as well as well-known companies, but never actually bought the investments. Instead, he […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3760],"tags":[],"class_list":["post-1651","post","type-post","status-publish","format-standard","hentry","category-sec-enforcement"],"yoast_head":"\nEx-Trident Partners Compliance Director Faces SEC Charges for Allegedly Defrauding Investors And Stealing Broker-Dealer Assets — Investor Lawyers Blog — May 29, 2015<\/title>\n<meta name=\"description\" content=\"The U.S. Securities and Exchange Commission's Enforcement Division has filed fraud charges against William Quigley, the former compliance director of — May 29, 2015\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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