A broker-dealer settled FINRA charges for imposing unfair commissions on equity transactions and for failing to file required private placement documents.
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SEC Commissioner Hester M. Peirce criticized asset managers, companies and governments for "embracing ESG without considering the long-term consequences to, respectively, their clients, shareholders, and citizens."
A firm settled FINRA charges for making unlawful compensation payments to an unregistered entity.
A US holding company and its state registered bank settled charges brought by the SEC, Federal Reserve and the California Department of Financial Protection and Innovation for anti-money laundering compliance deficiencies and misleading statements.
An individual and a trading firm settled separate disciplinary actions for violating CME and NYMEX "wash trade" rules.