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Failure to Supervise
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February 13, 2025
Newbridge Securities Fined for Margin Suitability Supervisory Failures & Investor Losses
January 31, 2025
Fidelity Fined for Supervisory Failures After Employee Steals $758,000 From Clients
December 28, 2024
SEC Fines Morgan Stanley $15 Million for Inadequate Supervision Over Failure to Safeguard Customer Funds
September 24, 2024
IFG VP Richard Mireles, Stewart Paxton Ginn Sanctioned in $2.2 Million Churning Scheme
September 09, 2024
Morgan Stanley Fined $2 Million Over Improper First Republic Trades
August 08, 2024
Janney Montgomery Scott Fined for Failing to Report Trades, Supervisory Failures
August 03, 2024
PFS Investments Fined for Failing to Enforce Outside Business Activities Rule
August 01, 2024
Western International Securities Fined for REIT Supervisory Failures, Causing $2.5 Million in Excessive Trading Costs
