WALL STREET FRAUDSTERS

This is a look at Wall Street fraudsters via excerpts from various U.S. government web sites such as the SEC, FDIC, DOJ, FBI and CFTC.

Showing posts with label DILIGENTLY SUPERVISING EMPLOYEES. Show all posts
Showing posts with label DILIGENTLY SUPERVISING EMPLOYEES. Show all posts
Friday, January 4, 2013

COMPANY SANCTIONED BY CFTC FOR NOT PROPERLY SUPERVISING EMPLOYEES

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FROM: U.S. COMMODITY FUTURES TRADING COMMISSION Chicago-Based R.J. O’Brien & Associates, LLC Sanctioned $300,000 for Supervision...
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