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Susan Konig

Susan’s Recent activity

Onus on OSJs and BOMs
Oct 01, 2005
In mid-September, the SEC ordered Raymond James Financial Services (RJFS) to pay a $6.9 million fine for failing to supervise Dennis Herula, a former broker who's in prison after pleading guilty to federal fraud...
Rogue Broker's Management Culpable
Sep 21, 2005
Raymond James Financial Services (RJFS) was ordered to pay a $6.9 million fine to the SEC for failing to supervise Dennis Herula, a former broker who is currently in prison after pleading guilty to federal charges of...
The Advisor as Matchmaker
Sep 01, 2005
A decade ago, when Doug Nani was a rookie rep at Legg Mason Wood Walker in Providence, R.I., the firm started a merchant banking division. Little did Nani know that the move would end up providing him with a lucrative...