Tag: failure to supervise
FINRA Examination Findings: Failure of Oversight in Firms
FINRA Examination Findings: firms need to tighten up supervisory systems. Last Friday, the Financial Industry Regulatory Authority...
Source Capital Group Pays $1.25 Million for Failure to Supervise
Elderly Investors Win FINRA Arbitration Award from Source Capital Group According to Investment News, Source Capital Group, a Connecticut...
NFA revokes registration of several associated persons
National Futures Association (NFA) has revoked the registrations of Jeremy J. Grena, Nabil P. Niman, Nicholas P. Payne, William M. Rill and...
FINRA Fines Atlanta based broker-dealer SunTrust Investment Services
FINRA recently today that it has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges related...
William James Murphy Barred From Securities Industry
FINRA recently issued a regulatory decision wherein William James Murphy was fined $591,933.67 as disgorgement of commissions and barred...
