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 ...

According to SEC Enforcement Director Gurbir Grewal, Qatalyst Partners did not have to pay a monetary penalty because it self ...

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

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 ...

With Alex David leaving Stifel, what does that say about the independent brokerage business there,” asks one brokerage executive.