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 ...
SEC Hits Several Companies With Fines to Settle WhatsApp Probe
SEC charges firms, including CM, SF and IVZ, millions in fines for longstanding failures to maintain and preserve electronic communications.
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 ...
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 ...
CIBC, Invesco, Stifel Pay Millions to Settle WhatsApp Probes (2)
US regulators levied more than $118 million in penalties against several financial firms for failing to keep employees’ electronic communications, the latest fallout from the so-called WhatsApp ...
Financial Advisor23h
Stiffel, Invesco Among Firms Fined $88M For Off-Channel Messaging
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 ...