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 FAILING TO SUPERVISE EMPLOYEES. Show all posts
Showing posts with label FAILING TO SUPERVISE EMPLOYEES. Show all posts
Thursday, March 13, 2014

SEC CHARGES JEFFERIES LLC WITH FAILING TO SUPERVISE EMPLOYEES

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FROM:  SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today charged global investment bank and brokerage firm ...
Thursday, January 16, 2014

COURT ORDERS INTRODUCING BROKER TO PAY FINE FOR RECORD-KEEPING VIOLATIONS

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FROM:  COMMODITY FUTURES TRADING COMMISSION  Federal Court in Illinois Orders Chicago-based Introducing Broker New World Holdings, LLC to P...
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