Failure to Supervise - Jonathan W. Evans & Associates

The Securities and Exchange Commission filed a complaint against former Oppenheimer & Co. broker ...

Investors who invested with brokers or firms, such as Raymond James Financial, in the now-defunct ...

The Securities and Exchange Commission identified compliance and oversight as a key area of concern, ...

After temporarily lifting some of their rules during the 2020 COVID-19 pandemic, regulators have ...

After receiving an $8 million penalty from the SEC, UBS Financial Services became the latest firm to ...

FINRA ordered Merrill Lynch to pay over $11 million in fines and restitution for supervisory ...