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Search Results: failure to supervise
Results 30-40 of about 128
Date: March 22, 2018
Franco, a Puerto Rico resident who was also the trustee of his law firm’s pension plan, accused the brokerage firm of negligence, misrepresentation, breach of fiduciary duty, breach of contract, unauthorized trading, unsuitability, overconcentration, failure to supervise, unauthorized use of ...
Date: February 15, 2018
His employer, United Planners Financial Services of America, is charged with failure to supervise .
Date: October 16, 2017
The Financial Industry Regulatory Authority said that Wells Fargo Advisors Financial Network and Wells Fargo Clearing Services LLC must pay over $3.4M in restitution to customers who were impacted by unsuitable recommendations involving exchange-traded products and the supervisory failures involved. ...
Date: May 6, 2017
According to the state regulator, the brokerage firm, which is based in Boston, failed to properly supervise its advisers located at Digital Federal Credit Union (DCU) branches.
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 ...
