Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures
- Written by Newsfile
The Huntington Investment Company self-reported and was ordered to pay lower civil penalty than other firms
Washington, D.C.--(Newsfile Corp. - February 9, 2024) - The Securities and Exchange Commission today announced charges against five broker-dealers, seven dually registered broker-dealers and investment advisers, and four affiliated investment...