@UPS you know what’s unstoppable? How @UPS will take your money to deliver an urgent package, then take no responsibility for when it’s their screwup and give its customers no way to recover. The robots can’t come fast enough!!! Thanks for nothing @ups
Sender beware!
BREAKING: The SEC has charged 26 firms to pay more than $390 million combined to settle charges for widespread recordkeeping failures.
The firms and payments include:
Ameriprise Financial Services, LLC agreed to pay a $50 million penalty
Edward D. Jones & Co., L.P. agreed to pay a $50 million penalty
LPL Financial LLC agreed to pay a $50 million penalty
Raymond James & Associates, Inc. agreed to pay a $50 million penalty
RBC Capital Markets, LLC agreed to pay a $45 million penalty
BNY Mellon Securities Corporation, together with Pershing LLC, agreed to pay a $40 million penalty
TD Securities (USA) LLC, together with TD Private Client Wealth LLC and Epoch Investment Partners, Inc., agreed to pay a $30 million penalty
Osaic Services, Inc., together with Osaic Wealth, Inc., agreed to pay an $18 million penalty
Cowen and Company, LLC, together with Cowen Investment Management LLC, agreed to pay a $16.5 million penalty
Piper Sandler & Co. agreed to pay a $14 million penalty
First Trust Portfolios L.P. agreed to pay an $8 million penalty
Apex Clearing Corporation agreed to pay a $6 million penalty
Truist Securities, Inc., together with Truist Investment Services, Inc. and Truist Advisory Services, Inc., which self-reported, agreed to pay a $5.5 million penalty
Cetera Advisor Networks LLC, together with Cetera Investment Services LLC, which self-reported, agreed to pay a $4.5 million penalty
Great Point Capital, LLC agreed to pay a $2 million penalty
Hilltop Securities Inc., which self-reported, agreed to pay a $1.6 million penalty
P. Schoenfeld Asset Management LP agreed to pay a $1.25 million penalty
Haitong International Securities (USA) Inc. agreed to pay a $400,000 penalty