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SEC Reaches $63 Million Settlement With 12 Firms

Robinhood to pay $45 mln to settle SEC charges over recordkeeping, other violations

Online trading firm Robinhood Markets has agreed to pay $45 million to settle U.S. Securities and Exchange Commission charges over record keeping, trade reporting and other rule violations, the regulator said on Monday.

Wall Street Journal · 10h

SEC Reaches $63 Million Settlement With 12 Firms Over Recordkeeping

The firms used unapproved communication methods to send and receive messages that were required to be preserved, the agency said.

Hosted on MSN · 12h

Twelve more firms settle with SEC on recordkeeping failures over messaging apps

Charles Schwab (NYSE:SCHW) and Apollo Capital Management (NYSE:APO), agreed to pay a total of $63M to settle a Securities and Exchange Commission investigation into recordkeeping failures, the SEC said on Monday.

Ohio State vs Notre Dame CFP Title Game to Use SEC Refs

Bleacher Report · 7h

Ohio State vs. Notre Dame CFP Title Game to Use SEC Refs; Crew Worked Fiesta Bowl

The NCAA reportedly has decided on the officiating crew for next Monday's College Football Playoff national championship game between Notre Dame and

USA Today · 20h

Ryan Day, assistants see bonus total rise further with Ohio State's run to CFP title game

Ohio State coach Ryan Day and assistants added another six-figures in combined bonuses after advancing to the College Football Playoff's final round.

buckeyeswire.usatoday · 13h

Ohio State football rumored to wear classic throwback uniforms for CFP title vs. Notre Dame

Ohio State football rumored to wear Heritage Stripe uniforms against Notre Dame in the national championship #GoBucks

BMO Capital markets, SEC

Reuters · 19h

BMO Capital markets settles with SEC over bond desk supervision

BMO Capital Markets agreed to pay more than $40 million to settle U.S. Securities and Exchange Commission charges it failed to properly supervise employees who sold mortgage-backed bonds, the regulator said on Monday.

MarketWatch · 20h

SEC Charges BMO Capital Markets with Failing to Supervise Agency Bond Desk

January 13, 2025) - The Securities and Exchange Commission today charged registered broker-dealer BMO Capital Markets Corp. with failing to supervise employees who, from December 2020 until May 2023,

Compliance Week · 16h

Broker-dealer BMO Capital Markets to pay $41M to settle trade supervision lapses

A broker-dealer subsidiary of Toronto-based BMO Financial Group will pay nearly $41 million in penalties to the Securities and Exchange Commission to settle allegations that its traders issued misleading disclosures on bonds for three years,

7hon MSN

More Wall Street firms settle US SEC charges over record-keeping

Wall Street firms including Blackstone, Apollo Capital Management and Carlyle have agreed to pay more than $63 million for ...

Outbound NC State Football Standout Commits to SEC School

Following two years in the NC State football program, Brandon Cisse is now set to play for the Gamecocks next season.

Cleveland.com5h

Ohio State football is battling an SEC team for a top transfer portal target: Buckeye Breakfast

Notre Dame predictions and best bets for the CFP Championship game ‘How to become a winner’: Ohio State football provides ...

12h

SEC charges Robinhood with securities violations, brokerage to pay $45 million penalty

The Securities and Exchange Commission on Monday said two related Robinhood broker-dealers agreed to pay $45 million to ...

Mark Sears Named SEC Basketball Co-Player of the Week

No. 5 Alabama men's basketball made some strides this past week with victories over South Carolina and then-No. 10 Texas A&M.

12hon MSN

‘How to become a winner’: Ohio State football provides lesson for SEC in comedy sketch

Can Ohio State football teach the SEC a lesson about winning? The popular comedy sketch series "SEC Shorts" thinks so.

‘Not qualified to run an Applebee's’: Trump Defense Sec. pick allegedly mismanaged TWO organizations

Pete Hegseth confirmation questions could include ongoing issues of sexual assault in the military, as he faces a hearing as ...

10hon MSN

Troy football announces 4 transfer additions, including 3 with state/SEC ties

Troy on Monday announced the addition of four football transfers, including two from inside the state and three who ...

Inconsistent Hogs on Desperate Mission for First SEC Win

Worse yet, the Hogs didn't look like the better team in either of those games. Mostly, it's inconsistency. Much of the time, ...

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SEC Reaches $63 Million Settlement With 12 Firms

Ohio State vs Notre Dame CFP Title Game to Use SEC Refs

BMO Capital markets, SEC

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