Category: Recordkeeping Violations


Release ID: SEC-PR-2024-44 Release Date: April 3, 2024 Source : Source Access Date: April 20, 2024 Headline: SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures Respondents: Senvest Management LLC – SEC Order PDF SEC-PR-2024-44: Please Contact  us if you find any non-working links on this page.


Release ID: CFTC-PR-8880-24 Release Date: March 19, 2024 Source : Source Access Date: April 21, 2024 Headline: CFTC Orders U.S. Bank to Pay $6 Million and Oppenheimer to Pay $1 Million for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved Communication Methods Respondents: U.S. Bank, N.A. – Order PDF Oppenheimer & Co., […]


Release ID: SEC-PR-2024-18 Release Date: February 9, 2024 Source : Source Access Date: April 21, 2024 Headline: Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures. The Huntington Investment Company self-reported and was ordered to pay a lower civil penalty than other firms Respondents/Defendants: Certain Broker-Dealer Practices – Order  PDF […]