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In its annual report on its enforcement actions, the Securities and Exchange Commission disclosed that it obtained orders for $8.2 billion in financial remedies in fiscal year 2024, the highest amount in SEC history. The results, detailed by AdvisorHub, showed that...
United Parcel Service Inc. has agreed to pay a $45 million civil penalty over charges that it improperly valued a business unit, the Securities and Exchange Commision announced. The SEC alleged that UPS misrepresented its earnings because it failed to follow generally...
The Securities and Exchange Commission announced that three broker-dealers have been charged with deficiencies in filing suspicious activity reports. The SEC said that the three, Webull Financial LLC, Lightspeed Financial Services Group LLC, and Paulson Investment...
The Securities and Exchange Commission has issued a summary of its enforcement actions that were conducted during the fiscal year 2024. In a news release, the SEC announced that it filed 583 total enforcement actions for the year while obtaining orders for $8.2...
As President-elect Donald Trump prepares to return to the White House, among his proposals that are being scrutinized is his plan to end taxes on Social Security benefits. During the campaign, Trump wrote on his Truth Social platform, “Seniors should not pay taxes on...
Broker-dealers are being advised to take note of the Securities and Exchange Commission's enforcement actions involving more expensive products when serving their own clients, Financial Advisor reports. The SEC was already expected to sharpen its focus on violations...
A state judge in California has granted a reprieve to two brokers who were on the verge of being suspended, according to AdvisorHub. Orange County Superior Court Judge David A. Hoffer issued a temporary restraining order that puts off any disciplinary action from the...
For the second time in the past month, arbitrators have ordered Stifel Financial to pay damages to an investor in cases that involved the strategy of one of its brokers. According to an AdvisorHub report, a Financial Industry Regulatory Authority panel ordered that...
A penalty has been imposed against CUNA Brokerage Services for violations involving the preservation of records and information, reports ThinkAdvisor. The Financial Industry Regulatory Authority said the Iowa-based firm will pay a $30,000 fine to settle the case. In...
The Financial Industry Regulatory Authority has filed a proposal with the Securities and Exchange Commission for a series of member fee increases beginning in 2025, according to AdvisorHub. FINRA estimates that total fees will increase at a compound annual growth rate...
