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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