IA Rules & Regulatory Actions

False marriage between two people not sincere
Cetera did not require the reps to place aggregated orders through internal systems, which would have prevented the post-trade allocations from being made
Thermometer Sun 40 Degres. Hot summer day. High Summer temperatures
Vistia Capital did not timely amend its Form CRS to disclose that one of its financial professionals had disciplinary history as required
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This was one of several new enforcement settlements announced regarding the responsibility to report beneficial owners. The SEC reminds that 'The duty to file is ...
Thoughtful man using his phone while riding on a train and looking through the window
Prior to and after being approached by the Commission, Stifel enhanced its P&Ps, increased training on use of approved communications methods, and provided some personnel ...
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The Commission requested documents in an unrelated investigation that revealed the use of off-channel and unpreserved communications. As a result, Glazer’s recordkeeping failures likely impacted ...
We're the duo for the task
The firm gathered and produced emails and text messages, including those at senior levels, that were sent or received by text message on personal phones ...
This is a photograph of businessman looking at laptop computer with magnifying glass
Fusion failed to retain emails sent from 2019 through mid-2021 for over 60% of its IARs, including client correspondence it was required to retain. It ...
Young couple arrived in hotel filling in registration documents at the reception desk.
Merrill personnel became aware that Harvest was not systematically adjusting the number of options contracts that Harvest purchased in numerous accounts with pre-2017 IMAs, but ...
Manager yelling at coworker.
Brighton did not disclose the incentives related to the Clearing Agreement to its advisory clients and prospective clients until June 2022 when it revised its ...
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The firms provided certain personnel with firm-issued devices that included technology that enabled the capture, retention, and archiving of communications (including text messages) sent and ...
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