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Search Results: failure to supervise
Results 50-60 of about 144
Date: March 23, 2017
He alleged failure to supervise, breach of fiduciary duty, and negligence.
Date: February 13, 2017
The regulator is also accusing the firm of not doing a diligent enough job of supervising agents and employees that were involved with the spoofing orders, which purportedly took place between 7/16/2011 and 12/31/2012.
Date: December 26, 2016
Morrisa Schiffman accused the broker-dealer of making unsuitable recommendations to her, as well as of inadequate supervision and disclosure failures.
Date: December 7, 2016
Secretary of the Commonwealth of Massachusetts William Galvin has filed charges against LPL Financial (LPLA) for its alleged failure to supervise one of its brokers.
Date: December 1, 2016
The Financial Industry Regulatory Authority (“FINRA”) has fined Merrill Lynch, Pierce, Fenner & Smith Inc (“Merrill Lynch”) $6.25 million and imposed a restitution penalty of $780,000 over Merrill Lynch’s inadequate supervision of its customers that employed leverage in brokerage accounts, ...
Date: November 21, 2016
The failure to apply the appropriate fee waiver discount for mutual fund shares purportedly occurred between 2009 and 2015. Already, Oppenheimer has paid over $6M to settle customer disputes alleging inadequate supervision of Hotton and another $1.25M to 22 customers ...
Date: October 10, 2016
Texas-Based Brokerage Firm Accused of Inadequate Supervision Involving VA Exchanges The Financial Industry Regulatory Authority is ordering IMS Securities Inc. to pay a $100K fine. The Texas-based brokerage firm is accused of failures related to its monitoring of variable annuity ...
Date: August 29, 2016
FINRA contends that supervisory failures is what allowed Caldwell International Securities’ brokers to allegedly engage in churning. ... The self-regulatory organization said that the firm’s failures caused fifteen clients to pay over $1M in commissions and fees on investment recommendations ...
Date: August 22, 2016
Apollo Global Management (APO) has agreed to settle for $52.7M allegations that the firm misled fund investors regarding fees and a loan agreement, as well as failed to supervise a senior partner.
Date: August 19, 2016
According to the regulator, for five days the firm, which is a provisionally registered Swap Dealer, did not report any swap data for a number of asset classes, turned in untimely and unfinished swap information, failed to supervise the staff ...
