Private texting costs Wall Street firms US$1 billion [Investment Executive - News]
Barclays PLC (BCS)
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Source: Investment Executive - News
The U.S. Securities and Exchange Commission (SEC) settled charges against eight major brokerage firms that are each paying US$125 million to resolve the allegations of violating federal securities laws by failing to preserve electronic communications. The firms are Barclays Capital Inc., BofA Securities Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc., Goldman Sachs & Co. LLC, Morgan Stanley & Co. LLC and UBS Securities LLC. Two additional firms — Jefferies LLC and Nomura Securities International, Inc. — each agreed to pay US$50 million penalties, and Cantor Fitzgerald & Co. agreed to a US$10 million penalty to resolve similar charges. The settlements stem from an SEC investigation that found widespread use communications on personal devices that were not captured by the firms, including messaging among senior and junior investment bankers and debt and equity traders. “The firms did not maintain or preserve the substantial majo
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BCS
Sec Filings
- 4/25/24 - Form 6-K
- 4/25/24 - Form 6-K
- 4/24/24 - Form 6-K
- BCS's page on the SEC website