Supervisory Failures at Southeast Investments and Frank Harmon Black
Supervisory Failures at Southeast Investments and Frank Harmon Black June 25, 2025 | My Bad Broker Southeast Investments and broker Frank Harmon Black were fined for failing to establish and maintain proper supervisory systems, including preserving business-related emails. This case underscores the importance of firms implementing robust supervisory procedures to ensure regulatory compliance. Violation: Failure […]