Eleven Firms to Pay More Than $88 Million Combined to Settle SEC's Charges for Widespread Recordkeeping Failures
September 24, 2024) - The Securities and Exchange Commission today announced charges against 12 firms, comprising broker-dealers, investment advisers, and one dually-registered broker-dealer and investment adviser,
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 ...
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 ...
(Reuters) - The U.S. Securities and Exchange Commission on Friday charged cryptocurrency trading platform Mango Markets with unregistered sales of its digital asset token, which the regulator ...
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 ...
In latest SEC investigation, 11 firms will pay more than $88 million to settle charges related to off-channel texting ...
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