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,
In latest SEC investigation, 11 firms will pay more than $88 million to settle charges related to off-channel texting ...
According to SEC Enforcement Director Gurbir Grewal, Qatalyst Partners did not have to pay a monetary penalty because it self ...
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 said 12 firms agreed to pay combined civil penalties of $88.3 million for violating ...
The SEC’s crackdown on texting and the use of unauthorized messaging apps has continued with 12 municipal advisors being ...
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 (SEC) has charged 12 firms for failing to retain employees' electronic conversations, the latest repercussions of the so-called WhatsApp investigations.
In August, more than two dozen firms, including Ameriprise Financial Services, Edward D. Jones & Co., LPL Financial and Raymond James & Associates, paid $393 million in fines to settle SEC off-channel ...
(Reuters) - Eleven broker-dealers and investment advisers have agreed to pay fines of more than $88 million to resolve ...
Day SEC Yield of 0.57% as of Sept. 23. Payable Sep 27; for shareholders of record Sep 23; ex-div Sep 23. More on Invesco ...
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