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Showing 1 - 1 of 1 results for "SMBC Nikko Securities America"

Wall Street firms slugged $442m for recordkeeping breach

KARREN VERGARA  |  WEDNESDAY, 9 AUG 2023
... Furthermore, Moelis & Company and Wedbush Securities each copped a US$10 million penalty, while SMBC Nikko Securities America is forced to pay US$9 million. "Each of the broker-dealers was charged with violating certain recordkeeping provisions of the ...
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