Ex-compliance officer at Conn. firm pleads guilty
Court Alerts
The former chief compliance officer at a Connecticut securities company has pleaded guilty to conspiracy to commit securities fraud and wire fraud.
Federal prosecutors in Manhattan say Deborah Duffy participated in a scheme to defraud investors in Greenwich-based WG Trading Co. from 1996 through February. They say she and others at the company failed to invest $131 million as promised and instead used it for their personal benefit.
The government says the company's customers included charitable and university foundations, pension and retirement plans and other institutions.
Two investment advisers who ran the business have been charged in the case.
Duffy entered her plea Tuesday. She signed a cooperation agreement with the government. Sentencing is set for Jan. 21.
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Illinois Work Injury Lawyers – Krol, Bongiorno & Given, LTD.
Accidents in the workplace are often caused by unsafe work conditions arising from ignoring safety rules, overlooking maintenance or other negligence of those in management. While we are one of the largest firms in Illinois dedicated solely to the representation of injured workers, we pride ourselves on the personal, one-on-one approach we deliver to each client.
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