SEC-PR-2024-18

SEC-PRESS RELEASE SEC-PR-2024-18Release ID: SEC-PR-2024-18

Release Date: February 9, 2024

Source : https://www.sec.gov/news/press-release/2024-18

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
  • Northwestern Mutual Investment Services LLC – Order PDF
  • Northwestern Mutual Investment Management Co. LLC – Order  PDF
  • Mason Street Advisors LLC – Order  PDF
  • Guggenheim Securities LLC – Order PDF
  • Guggenheim Partners Investment Management LLC – Order  PDF
  • Oppenheimer & Co. Inc. – Order PDF
  • Cambridge Investment Research Inc. – Order PDF
  • Cambridge Investment Research Advisors Inc. – Order  PDF
  • Key Investment Services LLC – Order PDF
  • KeyBanc Capital Markets Inc. – Order  PDF
  • Lincoln Financial Advisors Corporation – Order PDF
  • Lincoln Financial Securities Corporation – Order  PDF
  • U.S. Bancorp Investments Inc. – Order PDF
  • The Huntington Investment Company – Order PDF
  • Huntington Securities Inc. – Order  PDF
  • Capstone Capital Markets LLC – Order  PDF

SEC-PR-2024-18:

2024-18
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