Eleven Firms to Pay More Than $88 Million Combined to Settle SEC…
WEB2 days ago · The Securities and Exchange Commission today announced charges against 12 firms, comprising broker-dealers, investment advisers, and one dually-registered broker-dealer and investment adviser, for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications in violation of recordkeeping provisions of the federal securities laws.
SEC.gov | Twenty-Six Firms to Pay More Than $390 Million …
WEBAug 14, 2024 · The Securities and Exchange Commission today announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications.
SEC Hits Several Companies With Fines to Settle WhatsApp Probe
WEB1 day ago · Glazer Capital LLC agreed to pay a $2 million penalty, while Intesa Sanpaolo IMI Securities Corp. consented to pay $1.5 million. Canaccord Genuity LLC settled to pay a $1.25 million penalty and ...
SEC.gov | SEC Charges 11 Wall Street Firms with Widespread ...
WEBAug 8, 2023 · As described in the SEC’s orders, the firms admitted that from at least 2019, their employees often communicated through various messaging platforms on their personal devices, including iMessage, WhatsApp, and Signal, about the business of their employers.
Regulators fine Wall Street firms $549 million for using WhatsApp ... - CNN
WEBAug 8, 2023 · New York CNN — Wells Fargo and a slew of other Wall Street firms admitted Tuesday to using WhatsApp, Signal and other messaging platforms for “off-channel” communications in violation of federal...
Dozens of financial groups to pay nearly $400mn in SEC texting …
WEBAug 14, 2024 · Twenty-six Wall Street companies have agreed to pay $393mn to the Securities and Exchange Commission to settle the latest round of charges over employee texting and messaging on platforms such as...
SEC Fines Firms $393 Million in Latest WhatsApp Probe Cases (1)
WEBAug 14, 2024 · Twenty-six financial firms agreed to pay about $393 million in total fines after the US Securities and Exchange Commission said they failed to keep their employees’ electronic communications, the latest fallout from the …
Exclusive: SEC nearing settlement with Wall Street firms over WhatsApp …
WEBSep 28, 2023 · The settlements with broker-dealers and investment advisers would mark the latest enforcement action in the SEC's two-year crackdown on Wall Street's use of WhatsApp and other unapproved...
SEC Fines 16 Firms in Latest WhatsApp Probe Penalties (1)
WEBFeb 9, 2024 · Sixteen financial firms agreed to pay more than $81 million in civil fines after a federal probe found their employees used personal text messages for business purposes, marking the latest round of penalties to emerge from …
CIBC, Invesco, Stifel Pay Millions to Settle US WhatsApp Probes
WEB2 days ago · 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 ...
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