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Search Results: failure to supervise
Results 80-90 of about 128
Date: January 19, 2012
As a result of these alleged failures to disclose, FINRA contends that Citigroup kept investors from knowing of possible biases in the research recommendations that it made. ... FINRA also cites a lack of proper supervisory procedures that could have ...
Date: December 26, 2011
The Claimants alleged fraud, failure to supervise, and unsuitability.
Date: October 24, 2011
FINRA says that UBS did not properly supervise the short sales and violated Regulation SHO. ... FINRA says that UBS had a flawed Reg SHO supervisory system when it came to locates and marking sale orders and that this resulted ...
Date: October 22, 2011
Such wrongdoing can be simply ‘control person liability,’ which is the failure to control or properly supervise the behavior or operations of a subordinate or subsidiary.” ... They say that the bank’s failure to monitor the investments properly led to ...
Date: October 10, 2011
These failures allegedly allowed Bruce Hammonds to run a Ponzi scam that defrauded investors of $1.4M. ... In addition to five years behind bars and three year supervised release. ... Failure to Supervise It is a brokerage firm’s responsibility to ...
Date: September 8, 2011
Lucchese’s claims of securities fraud, including breach of fiduciary duty, breach of contract, negligence, failure to supervise, violations of federal and state securities laws, and other violations were denied in their entirety. ... Citi Smith Barney Customer Sues Over 2008 ...
Date: September 6, 2011
The Claimants had accused the financial firm of misrepresentation, negligence, vicarious liability, failure to supervise and violating the Texas Securities Act, the Texas Deceptive Trade Practices Act, and NASD Rules. ... The claimants said their actions were over SEC and ...
Date: August 31, 2011
His securities claim alleged breach of fiduciary duty , fraud, negligent misrepresentation, failure to supervise , intentional misrepresentation and omissions, unauthorized transaction, unsuitable transactions, emotional abuse, elder abuse, and churning related to transactions of unspecified variable annuities. ... Failure to ...
Date: July 29, 2011
Other examples of broker misconduct that could be grounds for a Houston securities fraud case include unsuitability, omissions and misrepresentations, churning, overconcentration, failure to execute trades, breach of promise, breach of contract, failure to supervise, breach of fiduciary duty, margin ...
Date: June 7, 2011
Northern Trust Securities has consented to pay a $600,000 Financial Industry Regulatory Authority fine over securities cha rges accusing it of failing to supervise collateralized mortgage obligation sales and lacking the systems set up to properly monitor certain high-volume securities ...
