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Sec’s $79 million crackdown: 10 firms hit with recordkeeping failures

The Securities and Exchange Commission (SEC) has imposed penalties totaling $79 million on ten firms for allegations of inadequate ...

September 29, 2023, 8:52 pm

Sec's $79 million crackdown: 10 firms hit with recordkeeping failures

The Securities and Exchange Commission (SEC) has imposed penalties totaling $79 million on ten firms for allegations of inadequate ...

September 29, 2023, 8:52 pm

Goldman to pay $6 million penalty to sec over recordkeeping violations

Goldman Sachs GS, +0.39% will pay the Securities and Exchange Commission $6 million to resolve charges that the investment bank provided incomplete in...

September 22, 2023, 9:28 am

Wedbush's recordkeeping blunders lead to multi-million dollar fines by us watchdogs

Tuesday proved to be exceptionally unlucky for the Los Angeles-based registered futures commission merchant, Wedbush Securities Inc., which faced chal...

August 9, 2023, 6:31 am

Sec fines 11 wall street firms for alleged recordkeeping violations

The US securities regulator has fined 11 broker-dealers a combined penalty of USD $289 million for allegedly violating the regulation on ...

August 8, 2023, 7:43 pm

Wells fargo to pay largest fine in sec recordkeeping enforcement action

Wells Fargo & Co. WFC, -2.72% will pay $125 million out of a total of $289 million in fines by the Securities and Exchange Commission against 10 firms...

August 8, 2023, 9:46 am


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