Tag: fine
United States SEC Fines LPL Financial $18 Million for Failures in...
United States SEC Fines LPL Financial $18 Million for Failures in Money Laundering from 2018 to 2023 Including Failing to Close Accounts Which Had...
United States SEC Fines PMAC Consulting & Paul John McCabe Jr...
United States SEC Fines PMAC Consulting & Paul John McCabe Jr $3 Million for Illegally Brokering Pre-IPO Shares & Received $16 Million in Compensation...
United States SEC Fines e-Commerce Food Company GrubMarket $8 Million for...
United States SEC Fines e-Commerce Food Company GrubMarket $8 Million for Providing Unreliable Financial Information Overstating Revenue by $550 Million Over 5 Years &...
United States SEC Fines Hedge Fund Two Sigma $90 Million for...
United States SEC Fines Hedge Fund Two Sigma $90 Million for Failure in Fiduciary Duties to Address Identified Vulnerabilities in Investment Models for 4...
United States SEC Fines Wells Fargo & Merrill Lynch $60 Million...
United States SEC Fines Wells Fargo & Merrill Lynch $60 Million for Failing to Consider Best Interest of Clients in Cash Sweep Option &...
United States SEC Fines 2nd Largest Asset Manager Vanguard in $106...
United States SEC Fines 2nd Largest Asset Manager Vanguard in $106 Million Settlement for Misleading Statements on Capital Gains Distributions & Tax to Retail...
United States Department of Justice Fines Cryptocurrency Exchange BitMEX (HDR Global...
United States Department of Justice Fines Cryptocurrency Exchange BitMEX (HDR Global Trading) $100 Million & 2-Year Probation for Money Laundering & KYC Failures to...
United States Department of Justice Files Anti-Trust Lawsuit Against Leading Private...
United States Department of Justice Files Anti-Trust Lawsuit Against Leading Private Equity Firm $624 Billion KKR for Avoiding Pre-Merger Filings Involving at Least 16...
United States SEC Fines 3 Investment Advisors $540,000 for Acting as...
United States SEC Fines 3 Investment Advisors $540,000 for Acting as Unregistered Brokers for StraightPath Venture Partners in Selling Shares of Pre-IPO Companies &...
United States SEC Fines 12 Financial Firms $63.1 Million for Using...
United States SEC Fines 12 Financial Firms $63.1 Million for Using Unapproved Off-Channel Communications, Maintaining & Preserving Electronic Communications, 12 Firms Fined are 3...
