Aug 22, 2024 1:26 PM By Jeff Dale
Cantor Fitzgerald agreed to pay more than $151,000 and be censured as part of a settlement with the Financial Industry Regulatory Authority over alleged supervisory failures in respect to over-the-counter securities.
Aug 22, 2024 1:04 PM By Aaron Nicodemus
Broker-dealer American Portfolios will pay a $225,000 fine to the Financial Industry Regulatory Authority (FINRA) over alleged deficiencies in its anti-money laundering program.
Aug 21, 2024 2:03 PM By Adrianne Appel
Equiniti Trust Company has agreed to pay $850,000 to the Securities and Exchange Commission to settle allegations that its failed security measures allowed millions in client funds to be stolen in two cyber incidents.
TOPICS: Horn USA, Inc.PPP loanCivil lawsuitFalse Claims ActSmall Business AdministrationDOJEmergency financial assistanceQui tam GRAND RAPIDS, Mich. — In a civil settlement, Horn USA, Inc., a pr...