The Securities and Exchange Commission has reached a settlement with 16 Wall Street firms over failures to maintain and preserve electronic communications.
The commission charged the Top 100 Firm for failing to comply with the standards of the PCAOB while conducting audits of two public companies from 2017 through 2020.
Aaron Fletcher and his firm Twin Spires Financial have entered a final judgment with the Securities and Exchange Commission over their role in two allegedly fraudulent offerings and a failure to register as a municipal advisor.