Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Award Claim

In the Matter of Guggenheim Securities LLC and Guggenheim Partners Investment Management LLC

March 29, 2024

2024-040

In the Matter of Guggenheim Securities LLC and Guggenheim Partners Investment Management LLC
Administrative Proceeding File No.: 3-21851
Date Filed: February 9, 2024
Date of Qualifying Judgment/Order: February 9, 2024

Last Reviewed or Updated: March 29, 2024

Rules & Regulations

Enforcement & Litigation

Compliance

In the Matter of Guggenheim Securities LLC and Guggenheim Partners Investment Management LLC

More in this Section

In the Matter of Guggenheim Securities LLC and Guggenheim Partners Investment Management LLC