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SEC gov | Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures

SEC gov | Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures
sec.gov - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from sec.gov Daily Mail and Mail on Sunday newspapers.

United statesUnited kingdomNew yorkAustin thompsonThomasp smith jrGurbirs grewalAmys cotterAnnec mckinleyAlisonr levineRutag dudenasRegina lamonicaPaula montoyaKathryna pyszkaKarolina klyuchnikovaGuggenheim securitiesKey investment services

Sixteen Firms To Pay More Than $81 Million Combined To Settle Charges For Widespread Recordkeeping Failures

Sixteen Firms To Pay More Than $81 Million Combined To Settle Charges For Widespread Recordkeeping Failures
menafn.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from menafn.com Daily Mail and Mail on Sunday newspapers.

United statesUnited kingdomNew yorkPaula montoyaKathryna pyszkaAnnec mckinleyGurbirs grewalAlisonr levineRegina lamonicaThomasp smith jrKarolina klyuchnikovaAustin thompsonAmys cotterRutag dudenasKey investment servicesUs bancorp

U S Bancorp and 15 others fined $81 million for record-keeping failures by SEC

Employees of these companies used “off-channel” communications, like personal text messaging services, to discuss clients and business transactions, rather.

United kingdomGurbirs grewalJpmorgan securitiesHuntington investment companyLincoln financial securities corpNorthwestern mutualGuggenheim partners investment managementInvestments incCambridge investment research incKeybanc capital markets incKey investment servicesExchange commissionLincoln financial advisors corpCapstone capital marketsUs bancorpHuntington bank

Latest SEC off-channel comms sweep nets $81M in fines against 16 firms

Latest SEC off-channel comms sweep nets $81M in fines against 16 firms
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United kingdomLincoln financial securities corpNorthwestern mutualUs bancorp investmentsKey investment servicesNorthwestern mutual investment servicesCommodity futures trading commissionHuntington investment companyCambridge investment researchNorthwestern mutual investment management coOppenheimer coCambridge investment research advisorsLincoln financial advisors corpMutual investment servicesNorthwestern mutual investment managementMason street advisors

SEC Makes 16 Firms Pay Penalties For Electronic Communications Transgressions

SEC Makes 16 Firms Pay Penalties For Electronic Communications Transgressions
crowdfundinsider.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from crowdfundinsider.com Daily Mail and Mail on Sunday newspapers.

United kingdomExchange commissionLlc nmim advisorsLincoln financial advisors corporationHuntington investment companyGuggenheim partners investment managementUs bancorpOppenheimer coCambridge investment research incKey investment servicesKeybanc capital markets incCambridge investment research advisors incUs bancorp investments incNorthwestern mutualNorthwestern mutual investment management coGuggenheim securities