"Maybe I can be criticized for not anticipating it, but I can't believe there's another compliance director on the Street that did."

His father was until May the compliance director at EarlyBirdCapital, a brokerage firm in Manhattan.

Joseph P. Tuorto, compliance director at the firm, says Raymond James delayed informing the regulators until it became clear that a "pattern" existed.

As compliance director, Ms. Meza severed Guess's relationship with 40 small factories that she found had violated the law.

We've hired a new compliance director, changed committees, and will have a much stronger relationship with AIM going forward.

Mr. Kanefsky, 33, is the compliance director at MacKay-Shields Financial, an investment management company in New York.

In a rage, Shapiro began cursing at the compliance director, calling him a "sissy" and other derogatory names, while attempting to draw him into a fight.

Mr. Cohn, 30, is an assistant compliance director at the Metropolitan Life Insurance Company in Manhattan.

A compliance director at a major firm says the office is fielding more questions nowadays because traders are more worried about "dotting their i's and crossing their t's."

"This is a basic requirement," said Kent Cooper, a former compliance director at the Federal Election Commission.