Jonathan Harold Frede—Failure to Establish Adequate Supervisory Procedures

Jonathan Harold Frede Allegedly Failed to Maintain Adequate Supervisory Procedures Regarding the Sale of Unregistered Securities and Anti-Money Laundering Procedures While at Murphy & Durieu Jonathan Harold Frede allegedly failed to maintain adequate supervisory procedures regarding the sale of unregistered securities and anti-money laundering (AML) procedures while operating as the Chief Compliance Officer at Murphy… Read more »