SEC Obtains Judgment Against Former Chief Compliance Officer of Investment Adviser — $28,935
RedMap Risk Score
60/100
HIGH RISK
Risk Signal Summary
The SEC obtained a judgment against David Goulding, former Chief Compliance Officer of The Nutmeg Group LLC, for aiding and abetting fraud and misappropriating client assets, ordering him to pay $28,935 in disgorgement and interest. The judgment was entered in Illinois.
Why This Matters
Governance and compliance anomalies in organizations managing public funds or charitable assets directly affect donors, beneficiaries, and taxpayers. The risk indicators identified in this report warrant further scrutiny by regulators, donors, and oversight bodies.
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Multiple related entities detected
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Sign up free to unlock →Disclaimer: This report identifies risk indicators and unusual financial patterns based on publicly available IRS Form 990 data and government enforcement records. It does not assert fraud, criminal conduct, or legal violations. All findings are for informational purposes only and should not be construed as legal or financial advice.
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