News & Insights

319 Results
August 24, 2022

A bank holding company settled SEC charges for (i) failure to maintain accurate records regarding commercial real estate security valuations, (ii) failure to incorporate all available market data into its valuations, (iii) issuing material misstatements relating to its valuations and (iv) related supervisory failures.

August 19, 2022

A broker-dealer settled FINRA charges for (i) accepting short sale orders without first fulfilling the locate requirement, (ii) reporting trades with an inaccurate capacity symbol and (iii) related supervisory failures.