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Failure to supervise (71)
Your search for Failure to supervise returned 71 results.
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12/21/2018 | Content area: Broker-Dealer
The Trust PPMs, like the Four Funds PPMs, raised red flags that should have caused the Respondents, as associated persons of a broker-dealer, to condu...
9/11/2018 | Content area: Broker-Dealer
These proceedings arise out of the failure by Cadaret Grant, Grant and Johnson (the “Supervisory Respondents”) reasonably to supervise Cadaret Grant’s...
8/16/2018 | Content area: Investment Adviser
Citi eliminated 15 valuations and related financial control positions in North America, as part of a global “efficiency” initiative that saw 50 such p...
8/14/2018 | Content area: Broker-Dealer
Throughout his employment at NW Capital, Morris reported to Fagan as his first-level supervisor. During the relevant period, Fagan also was the superv...
7/20/2018 | Content area: Broker-Dealer
In approximately 850 transactions since April 2012 until approximately June 2015, DBSI’s securities lending desk borrowed ADRs from Pre-Release Broker...
6/12/2018 | Content area: Broker-Dealer
These proceedings arise out of Merrill’s failure reasonably to supervise Firm personnel so as to prevent and detect violations of antifraud provisions...
5/15/2018 | Content area: Broker-Dealer
Mark Karow (“Karow”), then a registered representative at registered broker-dealer Legend Securities, Inc. (“Legend”), willfully violated Sections 5(a...
5/08/2018 | Content area: Investment Adviser
This matter involves the failure by Ku, Chief Financial Officer (“CFO”) of registered investment adviser Visium Asset Management, LP (“Visium”), reaso...
3/27/2018 | Content area: Broker-Dealer
Wedbush failed reasonably to supervise one of its registered representatives, Timary Delorme (“Delorme”), who engaged in manipulative trading activity...
2/12/2018 | Content area: Broker-Dealer
These proceedings arise out of the failure of DBSI and Solomon reasonably to supervise DBSI traders, and for DBSI reasonably to supervise DBSI salespe...
2/08/2018 | Content area: Broker-Dealer
A finding of systemic supervisory failures can be awfully costly. Just ask Meyers Associates.   In a Jan. 4 decision, the National Adjudicatory Counci...
10/26/2017 | Content area: Investment Adviser
Krueger favored his personal accounts over discretionary brokerage customer and advisory client accounts when he executed day trades or delayed alloca...
9/28/2017 | Content area: CPO/CTA
MSCO failed in certain respects to implement and maintain adequate systems and procedures for reconciling exchange and clearing fees from at least 200...
9/28/2017 | Content area: CPO/CTA
Over the course of 21 days, from at least March 3, 2016 through March 24, 2016, Tillage's fund administrator received seven fraudulent requests to tra...
9/22/2017 | Content area: CPO/CTA
Merrill Lynch failed to supervise its response to CME Group’s inquiries from January 2010 through December 2010. Specifically, Merrill Lynch relied ...
8/18/2017 | Content area: Broker-Dealer
Under Section 15(b)(4)(E) of the Exchange Act, broker-dealers are responsible for supervising, with a view to preventing and detecting violations of t...
6/22/2017 | Content area: Broker-Dealer
Portelli failed to take reasonable steps to address whether ITG personnel under his supervision confirmed ownership of the underlying ordinary shares ...
5/01/2017 | Content area: Broker-Dealer
These proceedings arise out of Barclays’ failure reasonably to supervise traders so as to prevent and detect violations of antifraud provisions of the...
1/26/2017 | Content area: CPO/CTA
In addition, the Order finds that E*TRADE Securities and E*TRADE Clearing violated CFTC Regulation 166.3 by failing to implement policies and procedur...
1/19/2017 | Content area: CPO/CTA
The Order also finds several supervision failures related to Citigroup’s spoofing. First, Citigroup provided insufficient training about spoofing to t...


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