Failure to Supervise

Posts In Failure to Supervise

Stifel Nicolaus to Pay $3.65 Million for Unsuitable Unit Investment Trust (UIT) Rollovers & Poor Supervision Jun 02
FINRA ordered Stifel, Nicolaus & Company to pay $3.65 million for unsuitable early unit investment ...
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SunTrust Investment Services to Pay $634,000 Over Unsuitable ETF Sales May 23
SunTrust Investment Services agreed to pay $634,000 in fines and restitution to settle charges it ...
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Western International Securities Failed to Disclose Brokers' Financial Events Totaling $5.6 Million, Says FINRA May 07
FINRA fined Western International Securities $325,000 for failing to timely update forms to disclose ...
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Integrity Brokerage Services CEO Joshua Helmle Accused of Deliberately Defying FINRA, Allowing Disqualified Broker Marc Jaffe to Work While Ineligible and Serve While Unregistered Apr 23
FINRA filed a complaint against Integrity Brokerage Services (Oceanside, CA) and CEO Joshua Nathan ...
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Wedbush Broker James Richards Cited for Supervision Failure Over Multi-Million Dollar Margin Deficits Apr 20
FINRA fined and suspended Wedbush Securities (Los Angeles, CA) supervisor R. James Richards for ...
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Clare Cail Suspended for Altering Signed Account Documents, Submitting Falsified Form Apr 08
FINRA fined and suspended former Morgan Stanley broker Clare Marie Cail aka Claire McGovern for ...
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