Posts Tagged “Barred”
by The Compliance Exchange on September 13, 2012
British authorities have barred a top British banker from working in the country’s financial services industry for his role in the collapse of a major British bank during the financial crisis.
by James Welsh on June 4, 2012
For 17 years, Spencer C. Barasch chased bad guys as an enforcement lawyer for the Securities and Exchange Commission. So why was he fined $50,000 and barred from representing clients before the SEC?
by The Compliance Exchange on May 25, 2012
Attorney Spencer Barasch, a former ranking official with the Securities and Exchange Commission’s Fort Worth office, has been barred from representing clients before the SEC.
by The Compliance Exchange on May 16, 2012
proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Marc Duda submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted
by Beth Connolly on May 2, 2012
Past cases of internal oversight that failed miserably mean an increased internal regulatory scrutiny at small and medium sized financial firms.
by Beth Connolly on April 13, 2012
Ralph Edward Thomas Jr. of Reisterstown, Md. misappropriated $775,000 from a fund he managed at Wells Fargo for a family of a child diagnosed with cerebral palsy, beginning in 2001.