Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Failure to supervise (78)
Your search for Failure to supervise returned 78 results.
Sorted by Date

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...
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...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US