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Search Results: failure to supervise
Results 60-70 of about 128
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, ...
Date: April 27, 2014
Negligence, failure to supervise, and breach of contract are the other leading claims.
Date: March 25, 2014
According to FINRA, however, from 1/1/08 to 7/1/12 LPL did not properly supervise the sale of alternative investments that violated of concentration limits.
Date: March 12, 2014
Broker-dealer and investment bank Jefferies LLC (JEF) has consented to pay $25 million to settle Securities and Exchange Commission charges that it did not properly supervise traders at its mortgage-backed securities desk. ... The supervisory failures are said to have ...
Date: October 29, 2013
(MER) must now pay Massachusetts securities regulators a fine for allegedly failing to supervise a broker who went on to defraud customers. ... Although Merrill agreed to pay the “failure to supervise” fine, it has not admitted to violating any ...
Date: August 6, 2013
Fiorilla is claiming breach of contract, failure to control and supervise, breach of fiduciary duty, gross negligence, negligence, and other violations. His claim against Mulcahy is over an alleged failure to supervise.
Date: July 19, 2013
Cohen with failure to supervise two portfolio managers and stop them from insider trading . ... The SEC wants to ban the hedge fund mogul from supervising investor funds. ... According to SEC Division of Enforcement Co-Director Andrew Ceresny, even ...
Date: June 19, 2013
In regards to LPL’s recent trouble’s with regulators, there was the $7.5 million that the Financial Industry Regulatory Authority ordered the financial firm to pay over nearly three dozen key e-mail system failures (including retention issues) that occurred between 2007 ...
Date: May 27, 2013
She also alleged misrepresentation and failure to supervise.
