Stifel, Nicolaus & Co. and Invesco each agreed to pay $35 million to settle charges that they failed to record employee ...

Stifel and Invesco will pay $35 million each to settle SEC charges that the firms failed to properly retain reps’ off-channel ...

The Securities and Exchange Commission said 12 firms agreed to pay combined civil penalties of $88.3 million for violating ...

In latest SEC investigation, 11 firms will pay more than $88 million to settle charges related to off-channel texting ...

A pair of SEC commissioners say the treatment of the brokerage firm Qatalyst shows industry watchdogs expect nothing short of ...

The Securities and Exchange Commission charged 12 firms with record-keeping violations, and levied a total of more than $88 ...

The SEC’s crackdown on texting and the use of unauthorized messaging apps has continued with 12 municipal advisors being charged more than $1.3 million in combined fines, as well as six nationally ...

The firms will pay a total of $88.2 million in civil penalties.

US regulators levied more than $118 million in penalties against several financial firms for failing to keep employees’ ...

The U.S. Securities and Exchange Commission's wide-sweeping investigation into recordkeeping violations resulted in a crop of ...

(Reuters) - Eleven broker-dealers and investment advisers have agreed to pay fines of more than $88 million to resolve ...

According to SEC Enforcement Director Gurbir Grewal, Qatalyst Partners did not have to pay a monetary penalty because it self-reported the results of its investigation.