Back to Main Theme

US SEC

Securities & Exchange Commission of the United States

Advanced Filters
Contributors
Tags
US SEC
Clear All
US SEC Fines 16 Firms $81mn for Messaging Violations

by Starling Insights

Observations

Feb 19, 2024

Earlier this month, the US Securities and Exchange Commission (SEC) announced $81 million in fines against 16 financial firms for the employee use of unauthorized messaging apps. The penalized firms included Northwestern Mutual Investment Services (NMIS), US Bancorp, and Huntington Investment Company.

The 2023 Compendium is available now!

Now in its 6th year, Starling's Compendium features over 40 contributors from across the industry as well as detailed analysis of the latest trends in culture & conduct risk supervision.

JPMorgan Fined $4mn for Deleting Messages

by Starling Insights

Observations

Jun 28, 2023

JPMorgan Chase's brokerage arm will pay $4 million to settle with the U.S. Securities and Exchange Commission (SEC) over the accidental deletion of 47 million electronic messages it was required to retain.