Firm repaid almost $600,000 to client for losses, DSC fees, tax, lost gains
Regulator outlines examination priorities for fiscal 2026
Regulator proposes broad prohibition on trading in connection with offerings
Contracts to trade crypto for clients amounted to securities, regulators said
Broker failed to meet gatekeeper obligations, missed red flags, when trading penny stocks for U.K. firm
New firm failed to adequately review trading, client comms, SRO alleged
Budget boosts penalties, SRO powers, short selling rules
Switch to an exam-based model is to take effect Jan. 1, 2026
Panel believed rep's evidence over allegations from former client
Exec failed to disclose dealings, dealer ignored red flags, SRO alleged