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Enforcement

SEC Charges Three Broker-Dealers with Filing Deficient Suspicious Activity Reports

SEC Charges Webull, Lightspeed, and Paulson Investment Over Deficient Suspicious Activity Reports Broker-Dealers Face Combined $275,000 Penalty for SARs Violations On November 22, 2024, the Securities and Exchange Commission (SEC) disclosed that three prominent broker-dealers—Webull Financial LLC, Lightspeed Financial Services Group LLC, and Paulson Investment Company, LLC—settled charges related to […]

SEC Enforcement
Enforcement

Invesco Advisers Faces SEC Penalty for Misleading ESG Claims

In a recent enforcement action, the U.S. Securities and Exchange Commission (SEC) penalized Invesco Advisers, Inc., accusing the investment management firm of making deceptive claims regarding the percentage of its assets under management (AUM) that incorporated environmental, social, and governance (ESG) factors. This Atlanta-based investment adviser agreed to a $17.5 […]