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SEC sued over broker-dealer texting fines data

A lawsuit against the SEC asks how the agency calculated billions of dollars in fines against broker-dealers for off-channel communications. ....

United States , Amy Greer , Sander Ressler , Credit Suisse , Us District Court , Goldman Sachs , American Securities Association , Edge Compliance Outsourcing Services , Morgan Stanley , Justice Department , Exchange Commission , Information Act , Essential Edge Compliance Outsourcing ,

SEC bars former advisor, crypto trader - InvestmentNews

SEC bars former advisor, crypto trader - InvestmentNews
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New York , United States , Sander Ressler , Gabriel Edelman , Financial Industry Regulatory Authority Inc , Exchange Commission On , Edge Compliance Outsourcing Services , Exchange Commission , Creative Advancement , Edelman Blockchain Advisors , Spartan Capital Securities , Financial Industry Regulatory Authority , Essential Edge Compliance Outsourcing ,

Repeat flubs at Stifel over complex products: Finra

Repeat flubs at Stifel over complex products: Finra
investmentnews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from investmentnews.com Daily Mail and Mail on Sunday newspapers.

Sander Ressler , Financial Industry Regulatory Authority Inc , Stifel Financial Corp , Edge Compliance Outsourcing Services , Stifel Nicolaus Co , Stifel Financial , Stifel Nicolaus , Stifel Independent Advisors , Essential Edge Compliance Outsourcing , Irrational Capital ,

Essential Edge Commences Next Stage of Strategic Growth Plan by Naming New Board of Advisors

Essential Edge Commences Next Stage of Strategic Growth Plan by Naming New Board of Advisors
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United States , New York , Miriam Lefkowitz , Paul Menchaca , Sander Ressler , Jeff Nash , Sid Yenemandra , Joseph Kuo , Larry Roth , Summit Equities Inc Financial Resources , Oppenheimer Co , Coda Advisory Group , Advisor Group , Principal Of Miriam Lefkowitz , Haven Tower Group , Clark Capital Management Group , Edge Compliance Outsourcing Services , Cetera Financial Group , Enforcement Division Of The Securities Exchange Commission , Partner At Kekst Company , Essential Edge Compliance Outsourcing Services , Essential Edge , Essential Edge Board , Managing Partner , Berkshire Global Advisors , Clark Capital Management ,

Reg BI enforcement poised to take next step

Reg BI enforcement poised to take next step
investmentnews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from investmentnews.com Daily Mail and Mail on Sunday newspapers.

United States , Quinn Emanuel Urquhart Sullivan , Amy Greer , Sander Ressler , Robertw Cook , Kurt Wolfe , Financial Industry Regulatory Authority Inc , Edge Compliance Outsourcing Services , Exchange Commission , Regulation Best Interest , Financial Industry Regulatory Authority , Essential Edge Compliance Outsourcing , Quinn Emanuel Urquhart , American Century ,