In latest SEC investigation, 11 firms will pay more than $88 million to settle charges related to off-channel texting ...

The firm was among 11 that agreed to pay a total of $88 million to resolve charges of violating federal securities laws by ...

The SEC’s crackdown on texting and the use of unauthorized messaging apps has continued with 12 municipal advisors being ...

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 ...

Stifel, Nicolaus & Co. and Invesco each agreed to pay $35 million to settle charges that they failed to record employee ...

According to SEC Enforcement Director Gurbir Grewal, Qatalyst Partners did not have to pay a monetary penalty because it self-reported the results of its investigation.

US regulators levied more than $118 million in penalties against several financial firms for failing to keep employees’ ...

Eleven broker-dealers and investment advisers have agreed to pay fines of more than $88 million to resolve allegations they ...

The Securities and Exchange Commission announced that it has fined Stifel Financial and 10 other firms a total of more than $88 million for recordkeeping failures as the regulator continues its ...

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 ...