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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: #FailureToSupervise

Investments - Unsuitable

Hidden Figures at Van Clemens & Co.

May 12, 2020

Regulatory Sanctions

Summit Brokerage Had Lax Supervision Over Excessive Trading and Consolidated Reports

July 4, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 7 Firms, 43 Individuals

June 17, 2019

Regulatory Sanctions

A FINRA Decision That, Unfortunately, Is Not Worth the Paper It’s Printed On

June 12, 2019

Regulatory Sanctions

Remote Branch Manager Failed to Register or Supervise

May 28, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 13 Firms, 24 Individuals

May 16, 2019

Regulatory Sanctions

A Quest to Hold Supervisors More Accountable

April 27, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 4 Firms, 40 Individuals

April 15, 2019

Regulatory Sanctions

SEC Capitulates to Wedbush Securities Over Supervisory Failures

March 15, 2019

Regulatory Sanctions

Small Investment Banking Firm Sloppy with Registrations

February 7, 2019

Regulatory Sanctions

Broker-Dealer Overpaid Customers' Third-Party Advisors

January 15, 2019

Regulatory Sanctions

Unscrupulous Brokers and Their Supervisors: FINRA Should Stick to Them Like ‘White On Rice’

January 3, 2019

Regulatory Sanctions

Bank B/D Subsidiary Flubs its Customer Privacy Notices – So Where’s the Project Manager

December 28, 2018

Regulatory Sanctions

NYSE Disciplinary Actions - December 2018

December 24, 2018

Regulatory Sanctions

NYSE Arca Disciplinary Actions for June

July 3, 2018

Regulatory Sanctions

Wells Fargo Actively Traded ‘Buy-And-Hold’ Investments in Customer Accounts

June 26, 2018

Regulatory Sanctions

De Minimis Activity is Never an Excuse for Lacking Adequate Supervision

June 21, 2018

Wall Street News

FINRA Disciplinary Actions Against 14 Firms in June Report

June 18, 2018

Regulatory Sanctions

B/D and CEO Fight FINRA's Broad Indictment of Its Supervisory Procedures

May 7, 2018

Regulatory Sanctions

Failed Supervision of Outside Brokerage Accounts – FINRA Doesn't Sanction Firms

May 2, 2018

Regulatory Sanctions

Broker-Dealer with a Single Broker ‘Gets Clocked’ by a FINRA Cycle Exam

March 14, 2018

Regulatory Sanctions

Principal Fails to Police Unsuitable Mutual Fund Switches

February 28, 2018

Regulatory Sanctions

FINRA Priorities: Quarterly Disciplinary Review, October 2017

October 31, 2017

Regulatory Sanctions

FINRA Bars CCO After She Gets Caught in a Web of Lies

July 20, 2017


NBA, NFL Stars Hit Morgan Stanley, Wells Fargo with Arbitration Claims

July 7, 2017