Benefits Pro4h
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 off-channel texting ...
WealthManagement.com1d
Stifel, Invesco Among 11 Firms Paying $88M To Settle SEC Off-Channel Communications Violations
According to SEC Enforcement Director Gurbir Grewal, Qatalyst Partners did not have to pay a monetary penalty because it self ...
Financial Planning17h
WhatsApp case raises question if firms can even comply with SEC rules, commissioners say
A pair of SEC commissioners say the treatment of the brokerage firm Qatalyst shows industry watchdogs expect nothing short of ...
SEC Issues $88 Million Fine Against 12 Firms for Record-Keeping Failures
The Securities and Exchange Commission said 12 firms agreed to pay combined civil penalties of $88.3 million for violating ...
Think Advisor1d
SEC Hits Stifel, Others With $88M in Texting Fines
The SEC’s crackdown on texting and the use of unauthorized messaging apps has continued with 12 municipal advisors being ...
Feds hit St. Louis financial giant with $35M penalty
The firm was among 11 that agreed to pay a total of $88 million to resolve charges of violating federal securities laws by ...
Zacks.com on MSN4h
SEC Hits Several Companies With Fines to Settle WhatsApp Probe
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.
planadviser.com22h
SEC Charges 12 Financial Firms for Recordkeeping Failures
The firms will pay a total of $88.2 million in civil penalties.
InvestmentNews2d
Stifel mulls acquisition of embattled investment bank B. Riley Financial's wealth unit
The investment bank recently announced that it has entered into a non-binding commitment for a debt financing of the B. Riley ...