Panel orders penalties for disgorgment and deterrence
Firms allegedly made misleading statements about their use of AI in investing strategies
Crypto lending program amounted to unregistered securities offering, regulator charged
SRO brings first case following compliance review targeting firms' use of online influencers
Pump-and-dump scheme used high-pressure cold calls, targeted seniors
Serving as a client's executor totally incompatible with rep's role, panel says
Regulator withdrew certain allegations, and a hearing panel rejected others
Tribunal decisions aren't final until sanctions imposed, court says
Program aims to close gaps involving crimes that aren't cases for SEC, CFTC
Regulators seek to combat fund industry greenwashing risks