Dual Registrants

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 ...

Key Investment Services and its reps did not disclose in writing that the reps were acting as associated persons when they made the transfer recommendations, ...

The SEC warned that investors "must be free to report complaints to the SEC without any interference"

CGMI willfully violated the recordkeeping requirements of Section 17(a) of the Exchange Act and Rule 17a-3 thereunder, which require broker-dealers to make and keep current ...

SEC enforcement action underscores the need for firms growing their business through acquisition to watch client protection

Citigroup Global has agreed to pay a $2.9M penalty for recordkeeping failures tied to expenses incurred with underwriting business

HSI contacted the Division of Enforcement upon uncovering off-channel communications potentially related to the business of its broker-dealer. HSI had already initiated a review of ...

Firm failed to "fully and fairly" disclose conflicts tied to revenue sharing payments and incentives received from two clearing brokers

Morgan Stanley charged with falling "woefully short" in the firm's PII protection efforts

The SEC simultaneously announced three enforcement actions against firms for violating the identity theft red flags rule