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Failure to supervise (84)
Your search for Failure to supervise returned 84 results.
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9/10/2019 | Content area: CPO/CTA
RELEASE Number 8005-19 September 10, 2019 Merrill Lynch Ordered to Pay $300,000 Penalty for Failing to Promptly Produce Audit Trail Data Was...
8/26/2019 | Content area: Investment Adviser
LWA’s compliance policies and procedures manual required investment adviser representatives to pre-clear and obtain written pre-approval before buyin...
8/21/2019 | Content area: Broker-Dealer
AOC failed to supervise Frank Dinucci Jr. (“Dinucci”), an associated person of AOC, who among other things, participated in a fraudulent valuation sch...
8/21/2019 | Content area: Broker-Dealer
After Gonzalez joined AOC, during the Relevant Period, he knew that AOC traders, including Dinucci, were providing price quotes or marks to PPI on beh...
8/16/2019 | Content area: Broker-Dealer
These proceedings arise out of BMO CMC’s improper practices with respect to securities lending transactions involving pre-released American Depositary...
8/16/2019 | Content area: Broker-Dealer
Typically, a Depositary issues ADRs to a market participant that has delivered the corresponding number of foreign securities to the Depositary’s fore...
7/15/2019 | Content area: Investment Adviser
These proceedings arise out of Nomura’s failure reasonably to supervise two traders so as to prevent and detect their violations of antifraud provisio...
7/12/2019 | Content area: CPO/CTA
RELEASE Number 7974-19 July 11, 2019 CFTC Orders ADM Investor Services Inc. to Pay a $250,000 Penalty to Settle Charges that it Failed to Su...
7/12/2019 | Content area: CPO/CTA
RELEASE Number 7973-19 July 12, 2019 CFTC Orders Vision Financial Markets LLC to Pay a $200,000 Penalty to Settle Charges that It Failed To ...
4/04/2019 | Content area: Broker-Dealer
How do you get socked with a $100,000 fine for violations involving less than 1% of your revenue?    The answer shows the continuing importance of non...
3/22/2019 | Content area: Broker-Dealer
Instead of obtaining ADRs directly from Depositaries, Merrill’s securities lending desk, in over 40,000 transactions from June 2012 until approximatel...
3/14/2019 | Content area: CPO/CTA
One of the most important NFA rules is 2-9 (supervision). Now the SRO is amending it. For instance, the rule will not longer refer to the NFA’s “Compl...
3/13/2019 | Content area: Broker-Dealer
Wedbush failed reasonably to supervise one of its registered representatives, Timary Delorme (“Delorme”), who engaged in manipulative trading activity...
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...


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