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RIA Senvest To Pay $6 5M for Text Message Record-Keeping Failures
Senvest Management, a $3 billion AUM firm, will pay $6.5 million to settle SEC charges it didn't retain off-channel business-related communications.
United kingdom
Eric warner
Oppenheimer co
Northwestern mutual
Wells fargo
Exchange commission
William blair company
Robertw baird co
Fort worth office
Cambridge investment research
Senvest management
New york based
Worth office director eric warner
Interactive brokers
William blair
Nuveen securities
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