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We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.


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Browsing Hashtag: #SupervisoryFailures

Regulatory Sanctions

Deutsche Bank Sales Traders Cheated Customers on Mortgage-Backed Securities

February 15, 2018

Regulatory Sanctions

Raymond James Pays Big for its Long-Term Email Supervision Failures

December 21, 2017

Regulatory Sanctions

Falsified Consolidated Reports Result in Frauds Against Clients

December 13, 2017

Regulatory Sanctions

A Call to Arms: CCO Appeals FINRA's Email Supervision Charges

December 8, 2017

Regulatory Sanctions

Wedbush Securities Granted Unlawful Executive Privileges – NYSE Arca

November 28, 2017

Regulatory Sanctions

B/D Owner Suspended for Supervisory Failures

November 27, 2017

Regulatory Sanctions

FINRA (Finally) Sanctions Registered Principal for Failing to Supervise

October 23, 2017

Regulatory Sanctions

Overreliance on Automated Compliance Systems – A Broker-Dealer Pays the Price

September 20, 2017

Regulatory Sanctions

Summit Hits Bottom Over Supervisory Failures (Part 1)

August 21, 2017

Compliance Concepts

A Bad Broker Operated 'Under the Radar' for So Many Years

August 15, 2017

Regulatory Sanctions

CEO/CCO Suspended 13 Months for Failing to Supervise Private Offerings

August 15, 2017

Regulatory Sanctions

Legend Securities Travesty: Branch Manager Snoozed as Broker Churned Old, Blind Widow’s Accounts (Part I)

August 11, 2017

Regulatory Sanctions

Red Flags Indicate Speculative Purchases in Customer Accounts, But Firm Was Color Blind

August 4, 2017

Regulatory Sanctions

SEC Slams Former ITG Managing Director Over Supervisory Failures

June 22, 2017