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Search Results: failure to supervise
Results 100-110 of about 136
Date: April 24, 2011
The Morgan Keegan funds that investors had placed their money in included the: • RMK High Income Fund • RMK Multi-Sector High Income Fund • RMK Advantage Income Fund • RMK Select Intermediate Bond Fund • RMK Strategic Income Fund ...
Date: February 7, 2011
The broker-dealer sued the insurer last year alleging failure to uphold the insurance contract, which QA3 claims is supposed to provide $7.5 million in coverage for legal claims, expenses, and damages related to private placement. ... The panel found that ...
Date: February 6, 2011
According to the Financial Crisis Inquiry Commission, the 2008 financial crisis could have been avoided, but, instead it was caused by Wall Street’s thoughtless risk-taking, corporate mismanagement, and government regulation-related failures. ... It also accuses the Office of Thrift Supervision ...
Date: December 13, 2010
The most common investor claims against brokers and investment advisers can involve issues such as: • Unsuitability • Registration violations • Margin account abuse • Unauthorized trading • Breach of fiduciary duty • Breach of contract • Failure to execute ...
Date: December 8, 2010
Urban has been accused of failing to reasonably supervise stockbroker Stephen Glantz, who was involved a stock market manipulating scam with Innotrac Corp. stock. ... The case also brings up the questions of whether securities professionals such as Urban should ...
Date: November 19, 2010
As Shepherd Smith Edwards & Kantas LTD LLP founder and securities fraud lawyer William Shepherd points out, “We have seen a number of complaints regarding LPL which seemed to stem from failure to supervise.
Date: October 26, 2010
The North American Securities Administrators Association says that broker-dealer compliance programs throughout the country tend to exhibit deficiencies in several key areas: • Registration and licensing • Sales practices • Operations • Supervisions • Books and records Failure to follow ...
Date: August 25, 2010
The SRO is also accusing the investment bank HSBC of inadequate supervision of the suitability of the CMO sales and failure to fully explain the risks involved in CMO investments to clients.
Date: April 5, 2010
STMicro accused the broker-dealer of securities fraud , unjust enrichment, breach of contract, failure to supervise, and breach of fiduciary duty.
Date: March 15, 2010
The two men were accused of supervisory failures over allegedly fraudulent sales . Specifically, they allegedly inadequately supervised Leighton’s brother Joseph Leighton, who, at the time, was the firm’s top institutional sales trader.
