Failure to supervise

A greater spotlight will be placed on FINRA applicants and transfers should the revised supervision rule go into effect. Last week, the SRO's board approved ...

It started as a routine exam by a state regulator in 2007 and seven years later remnants of the case languish in court as a ...

It looks like Matthew Collins will have to dig deep into his pockets to satisfy an SEC judgment. The former supervisor at Prime Capital Services ...

Those recent FAQs from the SEC's Division of Trading and Markets (IA Watch, Oct. 7, 2013) help but if you're a CCO nervous about crossing ...

Just days after OCIE Director Drew Bowden offered words of support for CCOs (IA Watch, Sept. 30, 2013), the SEC's Division of Trading and Markets ...

Last week, attorneys argued in the D.C. Court of Appeals in Washington, D.C. over whether the SEC was fair in fining a former supervisor $310,000 ...

A very good reason may exist why the CCO at S.A.C. Capital Advisors wasn't identified in the SEC's civil action against owner Steven A. Cohen: ...

One gaping question left unanswered after reading the criminal indictment against S.A.C. Capital Advisors ($50B in AUM) in Stamford, Conn., is why wasn't the CCO ...

S.A.C Capital Advisors' Steven A. Cohen does face one charge, that failure-to-supervise allegation leveled against the billionaire hedge fund owner by the SEC (see related ...

You may be familiar with Ted Urban's story (IA Watch, April 1, 2013) but may never have heard of Matthew Collins. His case is on ...