The Banksters
0x3…6f4
ERC721
he Securities and Exchange Commission, the New York Stock Exchange and NASD today announced joint actions against five broker-dealers for violations of record-keeping requirements concerning e-mail communications. The firms consented to the imposition of fines totaling $8.25 million, along with a requirement to review their procedures to ensure compliance with record-keeping statutes and rules.
Name
427
Owner
0x5E4bEa43eb527650686F219ab682865493850EDb
ID#427
Rarity
LO:63%
Parent Company
Piper Sandler
EX:MAX
Company
U.S. Bancorp Piper Jaffray Inc.
EX:MAX
Violation
Recordkeeping Violations
EX:1%
Penalty
$1,650,000.00
EX:1%
Year
2002