SEC Fines RayJay $500K for Failing to Heed Manager’s
Sep 23, 2022 · The St. Petersburg, Florida-based firm’s compliance department failed to heed a branch manager’s concerns about an elderly client’s account withdrawals, the SEC said in a …
OFF
SEC Fines RayJay $500K For Failing To Heed Manager’s
2 weeks from now
Sep 23, 2022 · The St. Petersburg, Florida-based firm’s compliance department failed to heed a branch manager’s concerns about an elderly client’s account withdrawals, the SEC said in a …
advisorhub.com
OFF
Twelve Firms To Pay More Than $63 Million Combined To Settle …
2 weeks from now
Jan 13, 2025 · Carlyle Investment Management L.L.C., together with Carlyle Global Credit Investment Management L.L.C., and AlpInvest Partners B.V., agreed to pay a combined $8.5 …
sec.gov
OFF
SEC.gov | Twenty-Six Firms To Pay More Than $390 Million …
2 weeks from now
Aug 14, 2024 · Cowen and Company, LLC, together with Cowen Investment Management LLC, agreed to pay a $16.5 million penalty; Piper Sandler & Co. agreed to pay a $14 million penalty; …
sec.gov
OFF
SEC Fines Raymond James $500,000 Over Supervisory Failures
2 weeks from now
Oct 11, 2022 · The Securities and Exchange Commission (SEC) has imposed a $500,000 fine on Raymond James over its alleged supervisory failures related to a former Tennessee-based …
ecclestonlaw.com
OFF
Eleven Firms To Pay More Than $88 Million Combined To Settle …
2 weeks from now
Sep 24, 2024 · Intesa Sanpaolo IMI Securities Corp., agreed to pay a $1.5 million penalty; Canaccord Genuity LLC agreed to pay a $1.25 million penalty; Regions Securities LLC agreed …
sec.gov
OFF
SEC Fines Investment Advisors, Broker-dealers $63M For Record …
2 weeks from now
Jan 14, 2025 · A combined $63.1 million in fines were handed out to 12 firms – nine investment advisors and three broker-dealers - to settle charges resulting from firms failing to main and …
investmentnews.com
OFF
SEC Orders 26 Firms To Pay $393 Million In Latest Wave Of Texting …
2 weeks from now
Aug 14, 2024 · Truist’s total fine was:Truist entities agreed to pay combined penalties of $5.5 million to the SEC and $3 million to the CFTC. Reply to Susan Jones on Sep 1 2024, Corrine …
advisorhub.com
OFF
SEC Reaches $63 Million Settlement With 12 Firms Over …
2 weeks from now
Twelve firms will pay a combined $63.1 million to resolve allegations from the Securities and Exchange Commission that they failed to properly keep records. Each firm used unapproved …
wsj.com
OFF
Eleven Firms To Pay More Than $88 Million Combined To Settle …
2 weeks from now
Sep 24, 2024 · The firms admitted the facts set forth in their respective SEC orders, acknowledged their conduct violated recordkeeping provisions of the federal securities laws, …
nasdaq.com
OFF
SEC Fines 26 Firms $392.8 Million For Record-Keeping Failures
2 weeks from now
Aug 14, 2024 · The Securities and Exchange Commission will fine 26 finance firms $392.8 million for alleged widespread and long-term inadequacies in preserving electronic communications.
morningstar.com
OFF
SEC Fines 12 Firms Over $63 Million For Recordkeeping Failures
2 weeks from now
Jan 14, 2025 · The SEC charged 12 firms, including nine investment advisers and three broker-dealers, for failing to maintain and preserve electronic communications. The violations weren’t …
grcreport.com
OFF
SEC.gov | Sixteen Firms To Pay More Than $81 Million Combined …
2 weeks from now
Feb 9, 2024 · The Huntington Investment Company self-reported and was ordered to pay lower civil penalty than other firms. For Immediate Release. 2024-18. ... The firms admitted the facts …
sec.gov
OFF
Arete Pushes Back On SEC Allegations; RayJay Zips Lip On ... - LinkedIn
2 weeks from now
Jan 30, 2025 · How to pivot into financial planning from another career; SEC hits Wells, Merrill with $60M sweeps fine; the 10 best and worst ETFs of 2024 Jan 21, 2025
linkedin.com
OFF
SEC's Latest WhatsApp Probe Nets $393M From LPL, RayJay And More
2 weeks from now
Aug 14, 2024 · The long arm of the SEC stretched deeper into the independent advisory and brokerage industries this week with more than $390 million in fines against 26 firms for …
financial-planning.com
OFF
Laxmi Ramanath On LinkedIn: SEC Fines RayJay $500K For Failing …
2 weeks from now
SEC Fines RayJay $500K for Failing to Heed Manager’s Concerns About Client Withdrawals (Quoted from the article) The Securities and Exchange Commission imposed a $500,000 fine …
linkedin.com
OFF
Dozens Of Financial Groups To Pay Nearly $400mn In SEC Texting …
2 weeks from now
Aug 14, 2024 · The settlements and fines reflect the latest fallout from the SEC’s sprawling industry-wide probe since JPMorgan Chase agreed to pay $200mn to the SEC and …
ft.com
OFF
Morgan Stanley Sues Leader Of $9-Mln RayJay Team Six Months …
2 weeks from now
Nov 15, 2024 · Morgan Stanley said it believes that the broker and his team had taken confidential customer information because they knew “highly sensitive” details such as assets, …
advisorhub.com
FAQs about SEC Fines RayJay $500K for Failing to Heed Manager’s Coupon?
Who agreed to a $50 million penalty?
How much did Raymond James pay the SEC?
Which companies have been penalized for fraud?
Did Huntington pay a $125 million penalty?
How much did Ameriprise & BNY Mellon pay a penalty?
Did PJT Partners LP pay a $600000 penalty?
Install CouponFollow Extension on Chrome
Install the CouponFollow extension to search for discount codes when shopping the fastest!
Install CouponFollow Chrome Extension
Listing Store by Characters
