What's New

Date Title Division/Office
Administrative Proceedings - BNY Mellon Securities Corporation and Pershing LLC Division of Enforcement
Administrative Proceedings - Cowen and Company, LLC and Cowen Investment Management LLC Division of Enforcement
Administrative Proceedings - TD Securities (USA) LLC; TD Private Client Wealth LLC; and Epoch Investment Partners, Inc. Division of Enforcement
Administrative Proceedings - LPL Financial LLC Division of Enforcement
Administrative Proceedings - Haitong International Securities (USA) Inc. Division of Enforcement
Administrative Proceedings - RBC Capital Markets, LLC
Administrative Proceedings - Ameriprise Financial Services, LLC Division of Enforcement
Administrative Proceedings - Raymond James & Associates, Inc. Division of Enforcement
Administrative Proceedings - Edward D. Jones & Co., L.P. Division of Enforcement
Administrative Proceedings - Truist Securities, Inc.; Truist Investment Services, Inc.; Truist Advisory Services, Inc. Division of Enforcement
Administrative Proceedings - Apex Clearing Corporation Division of Enforcement
Administrative Proceedings - P. Schoenfeld Asset Management LP Division of Enforcement
Administrative Proceedings - Osaic Services, Inc. and Osaic Wealth, Inc. Division of Enforcement
Administrative Proceedings - First Trust Portfolios L.P. Division of Enforcement
Administrative Proceedings - Cetera Advisor Networks LLC and Cetera Investment Services LLC Division of Enforcement
Administrative Proceedings - Piper Sandler & Co. Division of Enforcement
Administrative Proceedings - Hilltop Securities Inc. Division of Enforcement
Administrative Proceedings - Great Point Capital, LLC Division of Enforcement
Twenty-Six Firms to Pay More Than $390 Million Combined to Settle SEC’s Charges for Widespread Recordkeeping Failures Division of Enforcement
Litigation Release: Wilson J. Rondini, III; Falcon Capital Partners Ltd. Division of Enforcement

Last Reviewed or Updated: June 28, 2024