Try our Advanced Search for more refined results

Piper Sandler Eyes $15M Fine In SEC Recordkeeping Probe

By Katryna Perera ( November 6, 2023, 5:22 PM EST) -- Investment bank Piper Sandler & Co. said it expects to pay a $15 million penalty to resolve an investigation from the U.S. Securities and Exchange Commission related to recordkeeping claims tied to unapproved employee use of personal texts and chat apps to conduct business....

Law360 is on it, so you are, too.

A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.


A Law360 subscription includes features such as

  • Daily newsletters
  • Expert analysis
  • Mobile app
  • Advanced search
  • Judge information
  • Real-time alerts
  • 450K+ searchable archived articles

And more!

Experience Law360 today with a free 7-day trial.

Start Free Trial

Already a subscriber? Click here to login

Related Sections

Companies

Government Agencies

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!