Transfer Agent Equiniti Pays $850,000 Penalty for Losing Millions in Client Funds

The Securities and Exchange Commission (SEC) has settled charges against Equiniti, a transfer agent, for losing clients’ money. Equiniti has paid $850,000 in a civil penalty to settle the charges. According to the SEC, Equiniti was the target of a “threat actor” who pretended to… Read More
Read more in: Politics, Legal & Regulation | Tagged enforcement, Equiniti, sec