"broker" nach Englisch mit Beispielen - Kollokationen-Wörterbuch Englisch
- The SEC found that Reynolds had failed to supervise several brokers who were caught committing frauds.
- The S.E.C. had accused the firm of fraud, record-keeping violations and failure to supervise brokers who used fraudulent sales practices.
- It had accused them of failing to supervise brokers who defrauded investors in the funds, First Investors' Fund for Income and High Yield Fund.
- Mr. Grose is the highest-ranking current Prudential executive to face potential civil charges for failing to properly supervise brokers who broke the rules.
- The N.A.S.D. faulted Mr. Porush, the salesman with the biggest allocation of Master Glazier securities, for failing to supervise brokers properly.
- Charges on Supervision The five executives who have received Wells requests are facing charges that they failed to properly supervise brokers, as required of the managers of investment firms under Federal securities laws.
- In that case, the S.E.C. censured the firm for its failure to supervise brokers in its offices in Atlanta and Jacksonville, Fla.
- Massachusetts took action yesterday against Prudential Securities for its failure to supervise brokers in its Boston office who arranged for customers to make hundreds of improper trades.
- In December, it was censured by the New York Stock Exchange for failing to put into place methods of supervising brokers, and fined $250,000.
- Not so in arbitration, where many panels have ruled against firms for recommending unsuitable investments to clients or for failing to supervise brokers.
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