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Search Results: failure to supervise
Results 110-120 of about 136
Date: March 4, 2010
Galvin will submit a cease-and-desist order and findings against the broker-dealer over its unethical and dishonest conduct and the failure to properly supervise agents when they marketed and sold ARS.
Date: February 23, 2010
Panel members found Morgan Keegan liable for failure to supervise, negligence, and for selling investments that were unsuitable for Stein and his companies.
Date: October 8, 2009
Shortfalls revealed included: • Failure to submit accurate information in the Federal Procurement Data System • Failure to keep accurate information and records about contracting and procurement • Failure to engage in contract close-out procedures that are in accordance with ...
Date: September 28, 2009
FINRA says that the firms’ failure to adequately supervise communications with customers cost investors hundreds of thousands of dollars. ... According to the SRO, however, inadequate supervision and the failure to follow procedures regarding outside sourcing and directed share programs ...
Date: September 27, 2009
He says their failure to supervise contributed to the financial debacle.
Date: August 12, 2009
UBS Financial Services Inc. has agreed to be fined $100,000 and Merrill Lynch, Pierce, Fenner & Smith Inc. has consented to a $150,000 fine, says the Financial Industry Regulatory Authority, for alleged supervisory failures that resulted in the inappropriate short-term ...
Date: August 4, 2009
FINRA says NEXT Financial Group Inc. has agreed to a one million dollar fine for its alleged failure to properly supervise a number of client accounts and over 100 office of supervisory jurisdiction (OSJ) branch managers. ... As a result ...
Date: July 3, 2009
FINRA is fining Wachovia Securities, LLC $1.4 million for its alleged failure to provide customers with product descriptions and prospectuses between July 2003 and December 2004, as well as for related supervisory failures. ... Merrill, failure to provide the investing ...
Date: June 29, 2009
William Galvin, who is the Massachusetts Secretary of the Commonwealth, says the orders should remind the mutual fund industry that proper fund supervision is necessary. ... The defendants are accused of inflating the fund’s value by up to 17%, in ...
Date: May 1, 2009
Related Web Resources: Southwest Securities to Pay $10 Million, and Three Present or Former Managers to Receive 12-Month Supervisory Suspensions, in Settlement of Administrative Proceedings Based on Southwest Securities and Managers’ Failure to Supervise Registered Representatives Who Committed Fraud , ...
