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U.S. regulators fine Piper Sandler $16 mln for record-keeping failures https://t.co/wbo5TH5fum https://t.co/OLPn3KDWPm
Piper Sandler has agreed to pay a total of $16 million as a civil penalty to US regulators to resolve investigations into its record-keeping practices, the investment banking firm said https://t.co/LPFRKY4Jun https://t.co/KwkapPnKAG
U.S. regulators fine Piper Sandler $16 mln for record-keeping failures https://t.co/2JeILVkoQ5 https://t.co/Ah0HJfMjn2
U.S. regulators have fined Piper Sandler $16 million as a civil penalty for record-keeping failures. The investment banking firm has agreed to pay the penalty to resolve investigations into its record-keeping practices. Additionally, the Financial Industry Regulatory Authority (Finra) fined Pershing $1.4 million for providing inaccurate interest rate information to clients.
