Posts tagged ‘Hedge Funds’

FINRA recently announced that Bear Stearns & Co., Inc. (n/k/a J.P. Morgan Securities, Inc.) has been fined $500,000 and censured for failure to supervise. Without admitting or denying the findings, Bear Stearns consented to the entry of findings that it failed to establish and maintain adequate supervisory systems within its retail brokerage operation to [...]