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Search Results: failure to supervise
Results 70-80 of about 136
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.
Date: May 23, 2013
In what is being called the SRO’s largest fine to date over e-mail violations, the Financial Industry Regulatory Authority announced that it is fining LPL Financial LLC $7.5 million over 35 key e-mail system failures. ... The brokerage firm allegedly ...
Date: May 21, 2013
The Financial Industry Regulatory Authority says that LPL Financial LLC must pay a $7.5 million fine for inadequately supervising more than 28 million business emails between 2007 and 2013. ... It contends that the firm did not succeed in fulfilling ...
