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Search Results: failure to supervise
Results 60-70 of about 136
Date: October 13, 2015
The Financial Industry Regulatory Authority (FINRA) says that it is ordering Santander Securities LLC (Santander) to pay $6.4M for supervisory failures involving the sale of Puerto Rico Municipal Bonds and Puerto Rico closed-end funds. ... Santander will pay $121,000 and ...
Date: October 7, 2015
FINRA contends that Halcyon did not properly supervise Josephberg, who was making unauthorized trades and churning retail accounts. ... Blackstone Group to Pay Almost $39M Over Disclosure Failures The Securities and Exchange Commission said that three private equity fund advisers ...
Date: September 1, 2015
Lopez-Gonzales and their relatives filed an arbitration case with the Financial Industry Regulatory Authority (“FINRA”) claiming breach of fiduciary duty, fraud, breach of contract, negligence, unsuitability, misrepresentation and omission, overconcentration, and failure to supervise under FINRA rules and Puerto Rican ...
Date: June 22, 2015
The regulator said that instead, the supervisory failures let the conversions occur without detection.
Date: May 5, 2015
The Financial Industry Regulatory Authority Inc. said that LPL Financial (LPLA) must pay $11.7M in fines and restitution for widespread supervisory failures involving complex products sales. The self-regulatory organization said that from 2007 up to last month, the firm did ...
Date: March 29, 2015
. $100K, $175K, and $425K, respectively, for lapses in supervising reports sent to clients. ... Failure to supervise these documents can cause regulatory issues, such as the possibility of inaccurate communication, data that is misleading or confusing, supervisory control lapses, ...
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. ... According to the self-regulatory ...
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.
Date: September 16, 2014
Commodity Futures Trading Commission (CFTC) accusing the firm of records violations and inadequate supervision involving its know-your-customer procedures.
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, ...
