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Piper Sandler Eyes $15M Fine In SEC Recordkeeping Probe

By Katryna Perera (November 6, 2023, 5:22 PM EST) -- Investment bank Piper Sandler & Co. said it expects to pay a $15 million penalty to resolve an investigation from the U.S. Securities and Exchange Commission related to recordkeeping claims tied to unapproved employee use of personal texts and chat apps to conduct business....

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