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financial firms settle with sec over documentation breaches and misconduct

A group of prominent US firms, including Blackstone, KKR, and Apollo, has settled with the SEC, admitting to breaches of documentation rules and incurring fines exceeding $63 million. The violations involved unauthorized communication methods, raising concerns about market transparency. Additionally, Robinhood faces a $45 million fine for failing to report suspicious transactions and inadequate customer protections.
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United States Dollar Apollo Global Management, Inc. Robinhood Markets, Inc. KKR & Co. Inc. Banco Santander, S.A. Blackstone Group L.P. PJT Partners Inc. The Carlyle Group Inc. The Charles Schwab Corporation USA Apollo Quiboloy Thomas Carlyle Robin Padilla Adam Blackstone Show more
Regulatory & Legal, News Article
11:36 14.01.2025
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