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SEC Upholds Ex-Stanford Compliance Chief's Fraud Penalties

By Carmen Germaine ( March 25, 2016, 5:49 PM EDT) -- The U. S. Securities and Exchange Commission upheld a decision Thursday penalizing the former chief compliance officer of one of R. Allen Stanford's companies, finding he played a key role in the $7 billion Ponzi scheme by failing to perform due diligence. . . .

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