Eleven Firms to Pay More Than $88 Million Combined to Settle SEC…
WEB1 day ago · The SEC’s investigations into Stifel, CIBC, Intesa, Canaccord, Alpaca, and Qatalyst were conducted by Laurel S. Fensterstock, Karolina Klyuchnikova, Austin Thompson, and Alison R. Levine. The SEC’s investigation into Focused Wealth was conducted by Bennett Ellenbogen and Michael Paley. Each of these matters was supervised by Thomas P. Smith ...
SEC Hits Stifel, Others With $88M in Texting Fines
WEB1 day ago · Stifel and Invesco will each pay $35 million. Qatalyst took substantial steps to comply, self-report and remediate and paid no penalty, the SEC said. The Securities and Exchange Commission ...
Stifel Financial, Invesco fined $35M each by SEC for misuse of …
WEB2 hours ago · Stifel Financial, Invesco fined $35M each by SEC for misuse of texting apps, in latest crackdown. In latest SEC investigation, 11 firms will pay more than $88 million to settle charges related to ...
SEC hits Stifel with $35M penalty in 'off-channel communications' …
WEB16 hours ago · Listen to this article 5 min. Stifel, Nicolaus & Co. Inc. has agreed to pay a $35 million civil penalty to resolve charges that it violated federal securities laws by failing to maintain and ...
Stifel Among Firms Paying $88M For SEC Off-Channel Comms …
WEB1 day ago · Patrick Donachie | Sep 24, 2024. Stifel and Invesco will pay $35 million each to settle SEC charges that the firms failed to properly retain reps’ off-channel electronic communications ...
SEC Hits 11 Firms With $88 Million in Penalties for Off-Channel ...
WEB1 day ago · The commission on Tuesday said it had fined 11 firms more than $88 million to resolve the allegations of so-called off-channel communications. A 12th firm settled similar allegations but evaded a ...
SEC Fines 11 Companies More Than $88 Million Over Record ... - U.S. News
WEB1 day ago · REUTERS/Andrew Kelly/File Photo. (Reuters) - Eleven broker-dealers and investment advisers have agreed to pay fines of more than $88 million to resolve allegations they failed to keep proper ...
SEC hits nearly a dozen firms with $88M in penalties in latest ...
WEB1 day ago · Among the firms facing penalties, Stifel, Nicolaus & Company and Invesco Distributors, Inc. will each pay $35 million, the heftiest sums, while CIBC World Markets Corp. and its affiliate CIBC ...
SEC.gov | SEC Charges 11 Wall Street Firms with Widespread ...
WEBAug 8, 2023 · The Securities and Exchange Commission today announced charges against 10 firms in their capacity as broker-dealers and one dually registered broker-dealer and investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications. The firms admitted the facts set forth in ...
CIBC, Invesco, Stifel Pay Millions to Settle WhatsApp Probes
WEB1 day ago · Stifel, Nicolaus & Co. agreed to pay $35 million to the SEC, as did Invesco Distributors and Invesco Advisers. The firms admitted the facts and have begun making internal changes, according to ...
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