A Massachusetts appellate panel on April 18, 2025, brought to a close a bizarre dispute in which customer Lourenco Garcia sought to …
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Regulation
$63,100,000 Penalty Hits 12 Financial Giants, Including Charles Schwab and Santander, As SEC Issues Major Enforcement Action
by shayaanby shayaanThe U.S. Securities and Exchange Commission (SEC) is set to collect $63.1 million in fines from nine investment advisers and three broker-dealers …