Tag: failure to supervise

As the end of the government fiscal year approaches, the Commission filed several significant actions. Two involved Goldman Sachs and a former employee in a pay-to-play scheme centered on political contributions and business in the municipal markets. A significant market …

This Week In Securities Litigation (Week ending September 28, 2012) Read More »

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The Commission filed two administrative proceedings centered on churning and failure to supervise claims involving Atlanta broker dealer JP Turner. One named as Respondents the firm co-founder and president, William Mello which settled. In the Matter of JP Turner & …

SEC Brings Proceedings Involving Failure to Supervise and Churning Read More »

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