Failure to Supervise

Posts In Failure to Supervise

FINRA Slams Anaheim's Centaurus Financial for Supervisory Failure, Allowing Broker Donnie Ingram to Hire His Own Supervisor Nov 03
Regulators filed a complaint against both Donnie Ingram and Centaurus Financial, alleging the ...
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Previously Sanctioned for Excessive & Unsuitable ETP Trading, Efrain Trujillo Barred for Borrowing Money From Customers Oct 21
FINRA barred former Financial West Group and Western International Securities broker Efrain ...
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SagePoint Financial Sanctioned for Supervisory Failures, Excessive Margin for Elderly Client Sep 15
FINRA ordered Phoenix, Arizona-based SagePoint Financial to pay $86,000 in fines and restitution ...
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Kovack Securities Cited for Failing to Supervise Short-Term Mutual Fund Trades, Suitability Issues Aug 30
FINRA fined Brian Kovack's firm Kovack Securities in Woodland Hills, California over $200,000 for ...
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Roselaine Securities Disciplined for Failing to Supervise or Identify Staff Engaged in Outside Business Activities, Failing to Act on US Government's Financial Crimes Enforcement Network Requests Jul 20
FINRA fined and censured Pacific Palisades firm Roselaine Securities for deficient supervisory ...
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Western International Securities Charged with Violating Regulation Best Interest by Recommending and Selling Unsuitable and Risky GWG L Bonds Jun 16
The SEC charged Western International Securities and five of its brokers with violating the new ...
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