An associate on a derivatives trading desk exchanged more than 2,500 messages with Morgan Stanley colleagues, including several managing directors. The associate also texted with ...
As a result, UBS’s recordkeeping failures likely impacted the Commission’s ability to carry out its regulatory functions and investigate violations of the federal securities laws ...
While permitting employees to use approved communications methods, including on personal phones, for business communications, NSI failed to implement sufficient monitoring to assure that its ...
Credit Suisse’s recordkeeping failures likely impacted the Commission’s ability to carry out its regulatory functions and investigate violations of the federal securities laws across these ...
These proceedings arise out of the widespread and longstanding failures of employees throughout the firms, including at senior levels, to adhere to certain of these ...
Richard Crabtree continued this deception .... using his personal cellular telephone, sent pictures to the Client of data displayed on Crabtree’s computer screen purportedly showing ...
Instead of paying back Fund II during this time period, Respondent used the management fees it charged and collected for its own operating expenses
The analyst replied to Compliance Officer’s initial email, stating that he did not see anything that would require SARC to take immediate action, such as ...
The adviser repeatedly violated the Advisers Act by casting proxy votes at more than 200 shareholder meetings without taking any steps to determine whether the ...
None of the 40,000 back-up tapes handled by Moving Company complied with these policies and procedures. MSSB never inspected the equipment used to destroy those ...