SEC Hits Several Companies With Fines to Settle WhatsApp Probe [Yahoo! Finance]
Stifel Financial Corporation (SF)
Last stifel financial corporation earnings: 7/30 06:00 am
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Source: Yahoo! Finance
employees' electronic conversations, the latest repercussions of the so-called WhatsApp investigations. These violations are related to the companies' failure to properly maintain records of business-related communications, as required by federal securities laws. Brief Details on Record-Keeping Violations As indicated in SEC investigations, the companies were found using unauthorized communication methods, referred to as off-channel communications, including messages sent via personal text. The SEC's orders stated that the firms admitted to the allegations and confessed that their personnel, even top management, partake in the off-channel communications during the relevant periods. These communications, which should have been recorded under securities laws, were not properly maintained. The failure hindered the SEC's ability to access important records during investigations, reflecting lapses in compliance at multiple levels within the firms. Companies Fined by SEC The com
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News
- Stifel Financial Corp. (NYSE: SF) had its price target raised by analysts at Citigroup Inc. from $90.00 to $102.00. They now have a "neutral" rating on the stock.MarketBeat
- Transaction in Own Shares [Yahoo! Finance]Yahoo! Finance
- Stifel Reports August 2024 Operating DataGlobeNewswire
- Stifel Financial Corp. (NYSE: SF) had its price target raised by analysts at The Goldman Sachs Group, Inc. from $85.00 to $94.00. They now have a "neutral" rating on the stock.MarketBeat
- Transaction in Own Shares [Yahoo! Finance]Yahoo! Finance
SF
Earnings
- 7/24/24 - Beat
SF
Sec Filings
- 9/26/24 - Form 8-K
- 8/29/24 - Form N-PX
- 8/22/24 - Form 8-K
- SF's page on the SEC website