SEC Charges Three Broker-Dealers With Filing Deficient Suspicious Activity Reports
November 23, 2024
November 23, 2024
WASHINGTON, Nov. 23 -- The Securities and Exchange Commission issued the following news release on Nov. 22, 2024:
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Firms receive credit for cooperating with SEC's investigations
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The Securities and Exchange Commission today announced that broker-dealers Webull Financial LLC, Lightspeed Financial Services Group LLC, and Paulson Investment Company, LLC have agreed to settle charges that they filed with law enforcement suspicious activit . . .
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Firms receive credit for cooperating with SEC's investigations
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The Securities and Exchange Commission today announced that broker-dealers Webull Financial LLC, Lightspeed Financial Services Group LLC, and Paulson Investment Company, LLC have agreed to settle charges that they filed with law enforcement suspicious activit . . .