Keyword: Branch managers

26 results found

Mid-level managers should be very approachable and have a solid understanding of the business

  • By: Iris Leung
  • August 26, 2011 October 31, 2019
  • 09:55

Donnelly failed to adequately supervise two reps

  • By: IE Staff
  • February 9, 2010 February 9, 2010
  • 11:55

Bank responds to client demands for more localized banking capabilities abroad

  • By: IE Staff
  • February 3, 2009 February 3, 2009
  • 10:25

Youden failed to supervise Bagnell

  • By: IE Staff
  • December 3, 2007 December 3, 2007
  • 14:35

The National Association of Securities Dealers today announced that it has fined Raymond James Financial Services Inc. US$2.75 million for failing to maintain an adequate supervisory system to oversee the sales activities of over 1,000 producing branch managers.In a related action, NASD permanently barred one of those branch managers for recommending unsuitable mutual fund and […]

IDA revamps proficiency requirement for managers of non-retail branches