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Search Results: failure to supervise
Results 70-80 of about 139
Date: March 29, 2015
. $100K, $175K, and $425K, respectively, for lapses in supervising reports sent to clients. The reports provided asset summaries, and the self-regulatory organization is concerned that they had the potential to hide fraudulent activities.
Date: December 21, 2014
FINRA Fines WGF Investments $700,000 for Supervisory Failures The Financial Industry Regulatory Authority is fining WGF Investments $700,000 for failing to commit the attention, time, and resources to certain duties related to supervising registered representatives. WGF is a midsize independent ...
Date: December 10, 2014
In October, the agency’s enforcement division notified Okin that, based on a preliminary determination, it intended to file charges against him for securities law violations, including failure to supervise. Okin is no longer with Oppenheimer. He resigned earlier this month ...
Date: September 16, 2014
Commodity Futures Trading Commission (CFTC) accusing the firm of records violations and inadequate supervision involving its know-your-customer procedures. Aside from a $280,000 fine, the broker-dealer will have to disgorge commissions from the subject accounts involved.
Date: May 6, 2014
Regulators See Growing Financial Risks Outside Traditional Banks , The Wall Street Journal, May 7, 2014 Financial Stability Oversight Council (FSOC) Releases Fourth Annual Report, Treasury.gov 2014 Annual Report Financial Regulators See Progress and Threats , NY Times, May 7, ...
Date: April 27, 2014
Negligence, failure to supervise, and breach of contract are the other leading claims. Continue Reading ›
Date: March 12, 2014
Broker-dealer and investment bank Jefferies LLC (JEF) has consented to pay $25 million to settle Securities and Exchange Commission charges that it did not properly supervise traders at its mortgage-backed securities desk. These same staffers purportedly lied to investors about ...
Date: October 29, 2013
(MER) must now pay Massachusetts securities regulators a fine for allegedly failing to supervise a broker who went on to defraud customers. According to regulators and prosecutors, when she was with Merrill, now ex-broker Jane E. O’Brien borrowed over $2 ...
Date: August 6, 2013
Fiorilla is claiming breach of contract, failure to control and supervise, breach of fiduciary duty, gross negligence, negligence, and other violations. His claim against Mulcahy is over an alleged failure to supervise. Continue Reading ›
Date: July 19, 2013
Cohen with failure to supervise two portfolio managers and stop them from insider trading . Cohen is the SAC Capital. The SEC wants to ban the hedge fund mogul from supervising investor funds. A spokesperson for SAC says the securities ...
