12 Firms to Pay More Than $63 Million Combined to Settle SEC Charges for Recordkeeping Failures
January 14, 2025
January 14, 2025
WASHINGTON, Jan. 14 -- The Securities and Exchange Commission issued the following news release on Jan. 13, 2025:
* * *
One firm received credit for self-reporting and will pay a reduced civil penalty
* * *
The Securities and Exchange Commission today announced charges against nine investment advisers and three broker-dealers for failures by the firms and their personnel to maintain and preserve electronic communications, in violation of record . . .
* * *
One firm received credit for self-reporting and will pay a reduced civil penalty
* * *
The Securities and Exchange Commission today announced charges against nine investment advisers and three broker-dealers for failures by the firms and their personnel to maintain and preserve electronic communications, in violation of record . . .