Award Payment to SEC's First-Ever Whistleblower Quadruples

By Bruce Carton2014-04-07T09:54:00

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SEC issues $63M in fines to dozen firms in ongoing off-channel comms sweep

2025-01-15T16:24:00Z By Aaron Nicodemus

Twelve more firms have been dinged with fines by the Securities and Exchange Commission for failing to properly supervise employees who used off-channel communications to conduct company business. In this latest round of enforcement actions, nine investment advisers and three broker-dealers will pay a total of $63 million.