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Tag: regulatory action

FINRA Barclays fine
America

FINRA Barclays Fine Hits $325K Over Pandemic-Era Supervision Breakdown

Rihem Akkouche -
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sec_logo_securities_and_exchange_commission
Health

SEC charges Parallax Health Sciences for making false claims about COVID-19 efforts

Marivic Cabural Summers -
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LendUp Loans settles CFPB lawsuit
Business

LendUp Loans to Pay $1.25 Million for Violating Military Lending Act (MLA)

Marivic Cabural Summers -
0
jpmorgan
Business

JPMorgan Chase to pay $250M penalty over its deficient risk management and internal controls

Marivic Cabural Summers -
0
Yellowstone Capital settles FTC lawsuit
Business

VALIC Financial Advisors (VFA) to pay $40 million to settle SEC charges

Marivic Cabural Summers -
0
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