Stifel rejects CFTC’s WhatsApp settlement offer | Banking Dive
Nov 7, 2024 · Stifel rejects CFTC’s WhatsApp settlement offer. The St. Louis-based investment bank has set aside provisions but said it can’t “state with certainty that a settlement will be …
CIBC, Invesco, Stifel Pay Millions to Settle WhatsApp Probes
Sep 24, 2024 · CIBC, Invesco, Stifel Pay Millions to Settle WhatsApp Probes. CIBC and affiliates agree to pay $42 million to the SEC, CFTC; Fines are the latest wave to stem from years-long …
Eleven Firms to Pay More Than $88 Million Combined to Settle …
Sep 24, 2024 · The SEC’s investigations into Stifel, CIBC, Intesa, Canaccord, Alpaca, and Qatalyst were conducted by Laurel S. Fensterstock, Karolina Klyuchnikova, Austin Thompson, …
CIBC, Invesco, Stifel Pay Millions to Settle WhatsApp Probes (2)
US regulators levied more than $118 million in penalties against several financial firms for failing to keep employees’ electronic communications, the latest fallout from the so-called WhatsApp …
SEC Hits Several Companies With Fines to Settle WhatsApp Probe
Sep 25, 2024 · The U.S. Securities and Exchange Commission (SEC) has charged 12 firms for failing to retain employees' electronic conversations, the latest repercussions of the so-called …
Stifel, Invesco to Pay $35-Mln Each in Latest Wave of SEC Fines …
Sep 24, 2024 · Stifel, Nicolaus & Co. agreed to pay $35 million to settle allegations that it violated recordkeeping provisions of federal securities laws, the SEC said.
SEC hits Stifel, Invesco, 10 other firms with $88M in off-channel …
Sep 24, 2024 · The Securities and Exchange Commission on Tuesday hit 12 firms with $88 million in total penalties for not doing enough to monitor and record communications their …
Invesco to pay $35m penalty as SEC fines 11 firms in WhatsApp …
Sep 24, 2024 · Invesco, specifically Invesco Distributors and Invesco Advisers, has agreed to pay $35m for violating rules that govern how SEC registrants keep records of off-channel …
Stifel Among Firms Paying $88M For SEC Off-Channel Comms …
Sep 24, 2024 · Stifel and Invesco will pay $35 million each to settle SEC charges that the firms failed to properly retain reps’ off-channel electronic communications.
SEC Fines Firms $393 Million in Latest WhatsApp Probe Cases
Aug 14, 2024 · Twenty-six financial firms agreed to pay about $393 million in total fines after the US Securities and Exchange Commission said they failed to keep their employees’ electronic …
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