NOT FOR REPRINT
SEC Hits Stifel, Others With $88M in Texting Fines
News September 24, 2024 at 09:56 AM
Share & Print
What You Need To Know
- The firms included broker-dealers, RIAs and one dually registered firm.
- Stifel and Invesco will each pay $35 million.
- Qatalyst took substantial steps to comply, self-report and remediate and paid no penalty, the SEC said.
NOT FOR REPRINT
© 2025 ALM Global, LLC, All Rights Reserved. Request academic re-use from www.copyright.com. All other uses, submit a request to [email protected]. For more information visit Asset & Logo Licensing.
