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Failure to supervise (39)
Your search for Failure to supervise returned 39 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...
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...
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...
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...
5/03/2016 | Content area: Investment Adviser
Respondents failed reasonably to supervise Douglas E. Cowgill (“Cowgill”), the former Chief Compliance Officer (“CCO”) of Professional Investment Mana...
4/05/2016 | Content area: Investment Adviser
Respondent failed to have systems that would reasonably be expected to ensure that Sandru’s heightened supervision plan was disclosed to and implement...
1/08/2016 | Content area: Investment Adviser
Cohen ignored red flags indicating that Martoma might have access to material nonpublic information about the clinical trial. Martoma in fact had acce...
10/13/2015 | Content area: Investment Adviser
Respondents failed reasonably to supervise Douglas E. Cowgill, the former Chief Compliance Officer of Professional Investment Management, Inc., an inv...
10/01/2015 | Content area: Investment Adviser
All the signs of trouble were there if only CCO James Goodland had paid attention to them, according to a new enforcement settlement with the SEC.   O...
8/13/2015 | Content area: Investment Adviser
During the pendency of their fraud, Glover and Williams received undisclosed commissions from Colonial Tidewater totaling approximately $188,382. Glov...
5/26/2014 | Content area: Investment Adviser
Just days after an SEC commissioner again sought to assuage industry compliance staff worries of being targeted by the agency, Enforcement Director An...
12/09/2013 | Content area: Investment Adviser
It looks like Matthew Collins will have to dig deep into his pockets to satisfy an SEC judgment. The former supervisor at Prime Capital Services last ...
10/21/2013 | Content area: Investment Adviser
Those recent FAQs from the SEC's Division of Trading and Markets (IA Watch, Oct. 7, 2013) help but if you're a CCO nervous about crossing the supervis...
10/07/2013 | Content area: Investment Adviser
Just days after OCIE Director Drew Bowden offered words of support for CCOs (IA Watch, Sept. 30, 2013), the SEC's Division of Trading and Markets last...
9/30/2013 | Content area: Investment Adviser
Last week, attorneys argued in the D.C. Court of Appeals in Washington, D.C. over whether the SEC was fair in fining a former supervisor $310,000 in a...
8/12/2013 | Content area: Investment Adviser
A very good reason may exist why the CCO at S.A.C. Capital Advisors wasn't identified in the SEC's civil action against owner Steven A. Cohen: the fir...
8/12/2013 | Content area: Investment Adviser
One gaping question left unanswered after reading the criminal indictment against S.A.C. Capital Advisors ($50B in AUM) in Stamford, Conn., is why was...
7/29/2013 | Content area: Investment Adviser
S.A.C Capital Advisors' Steven A. Cohen does face one charge, that failure-to-supervise allegation leveled against the billionaire hedge fund owner by...
6/10/2013 | Content area: Investment Adviser
You may be familiar with Ted Urban's story (IA Watch, April 1, 2013) but may never have heard of Matthew Collins. His case is on appeal after an ALJ f...
4/22/2013 | Content area: Investment Adviser
Again last week the issue of the dearth in exams of investment advisory firms came up, with SEC Commissioner Elisse Walter calling for a solution now ...


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