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bas2020

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bas2020

Re: Kentucky123 post# 426472

Wednesday, 08/09/2023 9:39:27 AM

Wednesday, August 09, 2023 9:39:27 AM

Post# of 459775
What might the crooks be hiding?

The release "announced charges against 10 firms in their capacity as broker-dealers and one dually registered broker-dealer and investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications".


The SEC says it uncovered "pervasive and longstanding off-channel communications at all 11 firms," stating that firms often communicated through iMessage, WhatsApp, and Signal when talking about the business of their employer.


The failures involved employees at multiple levels of authority, including supervisors and senior executives.
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