Tag: failure to supervise

June 6, 2011

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...

Blog, Securities Fraud Articles

October 6, 2010

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...

Blog, Securities Fraud Articles

September 9, 2010

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...

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