Analysis: SEC targets low-level bankers, spares top execs

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Analysis: SEC targets low-level bankers, spares top execs

Analysis: SEC targets low-level bankers, spares top execs

REUTERS-

 

The U.S. government is not taking advantage of an enforcement tool that could potentially hold top Wall Street figures accountable for their role in the recent financial crisis, despite its prior success.

Broker-dealers, investment advisers, and others regulated by the Securities and Exchange Commission are required to supervise their representatives. If a trader engages in misconduct, the SEC can sue the management with “failure to supervise.”

[REUTERS]

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