Shepherd Smith Edwards & Kantas, LLP Home
We Fight for Investors Cheated by Wall Street
Contact Us Now 
Investor Lawyers Blog
Search Results: failure to supervise
Results 120-130 of about 136
Date: March 26, 2009
First New York Securities LLC and four of its ex-traders have reached a settlement with the Financial Industry Regulatory Authority over allegations that they improperly covered short positions involving secondary offering shares, as well as engaged in associated oversight failures. ...
Date: March 22, 2009
The SEC says Merrill did not have the procedures or polices to prevent employees from accessing the squawk boxes or to supervise them to make sure that they did not misuse customer order data. ... Related Web Resources: SEC Charges ...
Date: March 9, 2009
The Luxembourg financial service regulator is accusing Switzerland’s biggest bank of a “serious failure” in the way it managed a feeder fund that funnelled assets to Madoff-related investments. ... The French government accused UBS of lax supervision of mutual funds.
Date: February 18, 2009
SEC charges against Merrill Lynch include anti-fraud provision violations, failure to maintain specific records, and failure to supervise its investment advisers in the Ponte Vedra South office in Florida.
Date: November 17, 2008
. $300,000 for its failure to reasonably supervise the commissions that clients were charged for stock and options trades. ... FINRA contends that Hernandez was able to overcharge clients because Citigroup neglected to properly supervise him. ... Related Web Resources: ...
Date: September 15, 2008
Rosenthal Collins Group LLC has reached an agreement to settle Commodity Futures Trading Commission charges that it neglected to properly supervise employees and enforce compliance procedures . ... Related Web Resources: CFTC Sanctions Rosenthal Collins Group, LLC $310,000 for Failing ...
Date: August 15, 2008
Examples of common claims involving broker misconduct: • Unsuitability • Misrepresentation • Overconcentration • Omissions • Churning • Failure to Supervise • Failure to Execute Trades • Breach of Fiduciary Conduct • Breach of Contract • Negligence • Breach of ...
Date: March 5, 2008
The self-regulatory organization noted Oppenheimer’s failure to set up, manage, and enforce systems of supervision to detect and prevent market timing activities.
Date: February 28, 2008
The Financial Industry Regulatory Authority (FINRA) announced today that five major brokerage firms have agreed to pay fines totaling $2.4 million for supervision violations and improper mutual fund sales to thousands of investors. ... FINRA’s press release states that “Class ...
Date: January 17, 2008
SMH Capital has agreed to pay $450,000 in fines to settle charges by the Financial Industry Regulatory Authority (FINRA) over the broker dealer’s failure to have supervisory procedures and systems in place to handle its prime brokerage and soft dollar ...
