Baird to pay $15 million penalty for communication, recordkeeping issues
Milwaukee-based financial services firm Baird has agreed to pay a $15 million penalty to resolve charges from the Securities and Exchange Commission that employees improperly communicated through personal text messages and the firm did not properly preserve records of the communications. “While we are obviously disappointed with the findings, we have made enhancements to our … Continue reading Baird to pay $15 million penalty for communication, recordkeeping issues
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