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Browsing Hashtag: #SupervisoryFailures

Regulatory Sanctions

Interactive Brokers Fined $5.5Mn for Reg SHO Violations

September 6, 2018

Regulatory Sanctions

Long Island B/D Fails Supervision of Outside Brokerage Accounts

August 22, 2018

Regulatory Sanctions

Citigroup Fined over 'Books and Records' and 'Trader Supervision' Violations

August 16, 2018

Regulatory Sanctions

Email Review and Preservation – Ineffective Procedures, Poor Execution

July 26, 2018

Regulatory Sanctions

SEC Sanctions - Three on a Match, Times Three

July 11, 2018

Regulatory Sanctions

Morgan Stanley Fined $3.6Mn – Failed to Supervise Financial Advisor

July 11, 2018

Regulatory Sanctions

CFPB 'Defanged’ – Metes Out Lopsided Justice to Citibank

July 2, 2018

Regulatory Sanctions

Were Merrill Traders Wrong to Mislead Institutional Customers?

June 15, 2018

Regulatory Sanctions

Hedge Fund Firm and CFO Charged by SEC

May 9, 2018

Regulatory Sanctions

FINRA Nabs Fifth Third Securities on Variable Annuity Exchanges

May 8, 2018

Regulatory Sanctions

Short-Term Trading of UITs in Customer Accounts - Sanctioning the Broker-Dealer

April 23, 2018

Regulatory Sanctions

Firm President Failed to Supervise the Chief Compliance Officer

April 12, 2018

Regulatory Sanctions

Excessive Trading: Did Meyers Associates Fiddle While Broker Burned Customer’s Account?

March 23, 2018

Regulatory Sanctions

Failed Supervision at NEXT Financial Enabled Broker to Fleece Customer Accounts

March 22, 2018

Regulatory Sanctions

A Broker’s Death Wish (Or A Case of Failed Supervision)

March 22, 2018

Regulatory Sanctions

Supervision of Variable Annuities – The Bane of this FINRA Case Study

March 19, 2018

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