SEC Sanctions Multiple Brokerage Firms Over Text Messaging And WhatsApp
October 13, 2022
- Categories:
- Barclays
- Bank of America
- Cantor Fitzgerald
- Citigroup
- Credit Suisse
- Goldman Sachs
- Jeffries
- Morgan Stanley
- UBS Financial Services, Inc.
In September 2022, nine firms in total were found by the United States Securities and Exchange Commission (SEC) to be out of compliance with the federal agency’s recordkeeping and supervision regulations. These companies include: Barclays Capital, Inc. Citigroup Global Markets, Inc. BofA Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc. Goldman Sachs & […]