Failure to supervise

Ted Urban just won't go away. Now the SEC's Enforcement Division wants the full Commission to revisit the case against the former general counsel at ...

The SEC seemed to have its case against Ted Urban sealed tight. It didn't look good for theformer general counsel at Ferris Baker Watts in ...

Rhonda Breard filled the airwaves around Seattle with ads selling her financial advisory services using a line taken from the Beach Boys' song Help Me ...

This is a portion of a policy and procedure related to supervision at an RIA. This comes from Nancy Lininger with The Consortium in Camarillo, ...

Rose Rudden is looking at a $65,000 fine and at least a one-year bar from supervision after an administrative law judge sided with the SEC ...

From Morgan Keegan to William Morgan, CCOs have felt the lash of late from regulators who believe the officers ran afoul of the rules. Nothing ...

Here they come again - more failure to supervise cases, including one against a CCO for neglecting to take appropriate action to investigate red flags ...

The institution survived the Great Depression but couldn't overcome a deceptive rep who killed himself as authorities closed in on him. Now the whole sordid ...

If your firm sold investors on the investment management program ESI Illuminations Select, you'll take interest in the legal settlement last week between the SEC ...

Recent months have featured a few of these cases, in which compliance staff at financial services firms have been cited for failing to keep a ...