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Corporate & Securities Law
: FinancialCounselSEC Sends Message That Branch Managers Must Be Vigilant To Protect Investors
By James Eccleston
A recent enforcement action by the Securities and Exchange Commission (SEC) clearly sends the message that branch managers at financial services firms must be vigilant in supervising their financial advisers in order to protect investors. A branch manager who fails to do so will face sanctions. Let's consider the recent matter involving Banc of America Investment Services, Inc. ("BAI") and its branch manager, Virginia Holliday.
Full post as published by FinancialCounsel on December 30, 2009 (boomark / email).
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