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Search Results: failure to supervise
Results 20-30 of about 128
Date: October 29, 2019
Newbridge Securities in Boca Raton, a Florida-based broker-dealer, is censured by the Financial Industry Regulatory Authority (FINRA) and has been fined $225K over its purported failure to adequately supervise the sale of exchange-traded funds, structured notes, and other complex securities. ...
Date: October 11, 2019
According to AdvisorHub , the claimants are accusing the broker-dealer of not properly supervising Stifel Nicolaus broker Kenneth D.
Date: September 16, 2019
Now, the claimant is alleging omissions, misrepresentations, gross lack of supervision, unsuitable recommendations, and due diligence failures.
Date: September 13, 2019
She is alleging unsuitable recommendations, omissions, misrepresentations, gross negligence, due diligence failures, breach of fiduciary duty, negligence, and inadequate supervision.
Date: August 15, 2019
., to pay a $40K fine after he allegedly failed to properly supervise one of his firm’s ex- financial representatives.
Date: July 11, 2019
For alleged supervisory failures and excessive trading by one of its former brokers, Summit Brokerage Services, Inc. has been ordered to pay over $880K– $558K in restitution with interest to customers that were harmed, as well as a $325K fine ...
Date: October 3, 2018
According to Galvin’s office, SII did not properly supervise these transactions. It was last year that the Massachusetts regulator filed charges against SII, accusing the financial firm of failure to supervise and “dishonest or unethical conduct” related to non-traded REIT ...
Date: August 15, 2018
The Commission charged Ameriprise, a registered investment adviser and brokerage firm, with inadequate supervision of the representatives and for not having policies and procedures that were “reasonably designed” enough to stop them from misappropriating clients’ monies.
Date: August 14, 2018
Securities Fraud Allegations Against Former Merrill Lynch/RBC Financial Adviser Could Lead to More Unauthorized Trading and Failure to Supervise Claims
Date: March 28, 2018
The regulator is accusing the brokerage firm of not supervising registered representative Timary Delorme, 59, and disregarding warning signs that she was involved in a pump-and-dump fraud that targeted retail investors.
