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CFTC Fines Piper Sandler $2M In Latest Text Messaging Action

By Jessica Corso ( September 23, 2024, 7:57 PM EDT) -- The U.S. Commodity Futures Trading Commission and the U.S. Securities and Exchange Commission both announced settlements Monday in their ongoing probe into the financial industry's use of personal devices to discuss company business, with the CFTC issuing a fine against a subsidiary of Piper Sandler & Co. while the SEC said that a cooperative investment adviser would not have to pay anything. ...

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