Tag: SEC sanctions
Pruco Securities Overview
The White Law Group reviews the regulatory history of Pruco Securities LLC. Pruco Securities LLC (CRD#: 5685/SEC#: 801-52208,8-16402),...
Deutsche Bank Subsidiary DWS to Pay $25 Million
SEC charges DWS with Anti-Money Laundering Violations and ESG Misstatements According to a press announcement, the Securities and...
SEC Fines Nine RIA Firms $850K for Violating Marketing Rules
Nine RIA Firms Fined $850K in Regulatory Sweep In a recent crackdown by the Securities and Exchange Commission (SEC), nine Registered...
PIMCO to Pay $9 Million for Fund Violations
SEC Charges PIMCO with Disclosure and Policy Violations The Securities and Exchange Commission reportedly charged registered...
HSBC and Scotiabank Fined for Recordkeeping Violations
SEC Hits HSBC and Scotiabank with Hefty Fines for Recordkeeping Violations According to the Securities and Exchange Commission, the...
SEC Examines only 1 in 5 Registered Investment Advisors (RIAs) in 2021
The SEC Examines only 16% of RIAs in 2021, doesn’t expect the number to increase in the future. According to an article in Investment...
