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What will be the total amount of settlements paid by financial firms to the SEC in 2024?
3
Resolution / Starting Odds
Under $500 million • 25%
$500 million - $1 billion • 25%
$1 billion - $2 billion • 25%
Over $2 billion • 25%
SEC announcements and settlement details
Story
Wall Street Firms to Pay Over $470 Million in SEC Texting Probe Settlement
Aug 14, 2024, 09:41 PM
Twenty-six financial firms have agreed to pay more than $470 million to settle charges with U.S. regulators, including the U.S. Securities and Exchange Commission (SEC), over widespread recordkeeping failures. The SEC alleged that these firms failed to maintain proper electronic communications among their employees. This settlement highlights ongoing regulatory scrutiny in the financial sector, particularly concerning compliance with recordkeeping requirements.
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Accepted as is • 33%
Reduced • 33%
Rejected • 33%
Less than $150 million • 25%
$150 million to $200 million • 25%
$200 million to $250 million • 25%
More than $250 million • 25%
Less than $10 million • 25%
$10 million to $50 million • 25%
$50 million to $100 million • 25%
More than $100 million • 25%
Less than $10 million • 25%
$10 million - $20 million • 25%
$20 million - $30 million • 25%
More than $30 million • 25%
Less than $500 million • 25%
$500 million to $1 billion • 25%
$1 billion to $1.5 billion • 25%
More than $1.5 billion • 25%
Hiro • 25%
Paxos • 25%
Stacks • 25%
Ethereum 2.0 • 25%
No additional penalties • 25%
Up to $5 million • 25%
$5 million to $10 million • 25%
Above $10 million • 25%
Less than $1 million • 33%
$1 million to $10 million • 33%
More than $10 million • 34%
Unilever • 25%
WPP • 25%
GARM • 25%
WFA • 25%
CVS Health • 25%
Mars • 25%
Orsted • 25%
GroupM • 25%
Less than $50 million • 25%
$50 million to $100 million • 25%
$100 million to $200 million • 25%
More than $200 million • 25%