Search for: "SG Americas Securities, LLC"
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13 Feb 2009, 1:07 pm
In the Matter of SG Americas Securities, LLC and Francois O. [read post]
24 Jun 2020, 9:09 am
The Securities and Exchange Commission today announced settled charges against broker-dealer SG Americas Securities LLC for failing to provide complete and accurate securities trading information known as "blue sheet data. [read post]
24 Jun 2020, 1:00 pm
SEC Reportedly Sanctions SG Americas for Deficient Blue Sheet Data According to a press announcement on June 24, 2020, the Securities and Exchange Commission settled charges against broker-dealer SG Americas Securities LLC for allegedly failing to provide complete and accurate securities trading information known as “blue sheet data. [read post]
8 Aug 2023, 9:31 am
Separately, the Commodity Futures Trading Commission announced settlements with Wells Fargo Bank NA, Wells Fargo Securities, LLC, BNP Paribas Securities Corp., BNP Paribas S.A., SG Americas Securities, LLC, Société Générale S.A., Bank of Montreal, and Wedbush Securities Inc., for related conduct. [read post]
4 Jun 2019, 1:47 pm
SG Americas Securities, LLC acted as Financial Advisor to Cheniere Partners for the transaction, and MUFG Bank, Ltd acted as Sole Coordinating Lead Arranger. [read post]
9 Aug 2023, 11:25 am
The firms and their penalties have been produced and outlined as follows: Wells Fargo Securities, LLC together with Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC agreed to pay a $125 million penalty; BNP Paribas Securities Corp. and SG Americas Securities, LLC have each agreed to pay penalties of $35 million; BMO Capital Markets Corp. and Mizuho Securities USA LLC… [read post]
19 Mar 2009, 1:57 am
Bank of America Ordered to Give Bonus Data to N.Y. [read post]
9 Nov 2023, 9:01 pm
Congress did not take in enacting the federal securities laws. [read post]
19 Jul 2023, 9:06 pm
Black Pearl AwardIAFP selected Compass Group North America as the 2023 recipient of the prestigious Black Pearl Award. [read post]
3 Mar 2020, 1:59 pm
“How often has the SG declined to defend legislation adopted by Congress? [read post]
18 May 2018, 8:02 am
,” “Beachfront Iowa, LLC,” or “Greater San Diego Penguin Ranch, P.C. [read post]
9 May 2023, 9:01 pm
There is reason to believe the SEC’s new universal proxy Rule 14a-19 will result in more stockholder nominees being elected to the boards of public companies. [read post]
