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 ...
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’ ...
(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 U.S. Securities and Exchange Commission's wide-sweeping investigation into recordkeeping violations resulted in a crop of ...
In latest SEC investigation, 11 firms will pay more than $88 million to settle charges related to off-channel texting ...
(Reuters) - Eleven broker-dealers and investment advisers have agreed to pay fines of more than $88 million to resolve ...
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