Enforcement

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 […]