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Search Results: failure to supervise
Results 130-137 of about 137
Date: January 17, 2008
SMH Capital has agreed to pay $450,000 in fines to settle charges by the Financial Industry Regulatory Authority (FINRA) over the broker dealer’s failure to have supervisory procedures and systems in place to handle its prime brokerage and soft dollar ...
Date: July 24, 2007
In one of its final regulatory acts before being folded into the NASD, the New York Stock Exchange’s regulatory unit has censured and fined Smith Barney $50 million over illegal trades, failures to supervise and record-keeping violations. ... The NYSE ...
Date: July 9, 2007
Inc. agreed to pay a $250,000 civil penalty to end claims by Rhode Island Regulators that it failed to supervise sales representatives who engaged in unethical and dishonest practices in the sale of mutual funds and variable annuities. ... The ...
Date: July 2, 2007
The NASD fined four firms for mutual fund sales violations and for failures to properly supervise such sales. ... The violations charged include sales of Class B and Class B shares, causing investors not to receive the benefits of price ...
Date: April 13, 2007
In March 2005, NASD’s Department of Market Regulation charged Pasternak and Leighton with failure to supervise the firm’s leading institutional sales trader, Joseph Leighton, who is John Leighton’s brother.
Date: April 5, 2007
Berkowitz has sixteen customer disputes recorded, eleven of which are still pending, consisting of claims of unsuitable investment recommendations, failure to supervise, breach of fiduciary duty, churning, misrepresentation and breach of contract.
Date: March 1, 2007
The former broker’s supervisor was also charged with failure to properly supervise them.
