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Company: Securities and Exchange Commission

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Closeup of mallet being hit on stacked coins at table in courtroom

The US$8.1-million settlement will be distributed to harmed investors

whistleblower

The regulator's whistleblower program has generated hundreds of tips and paid out millions in rewards

gavel on a laptop

A pair of SEC commissioners criticized the lack of guidance regarding the regulator's approach to digital assets

gavel

The regulator alleged that investors were misled by a shell company and its acquisition target

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

The firm pushed advisors to recommend higher-cost managed accounts to clients

broadcast

Man charged for allegedly selling brokerage data, unreleased earnings info in shadowy online markets

Justice scales and gavel by books

The regulator says insider trading was conducted before Long Island Iced Tea Co.'s conversion to a crypto company

Block letters spelling fraud, with magnifying glass

Online scheme took over US$16 million from investors in 45 countries

announcement

Former prosecutor and current state attorney general Gurbir Grewal named to top post

Stock market background design

After being acquired by JP Morgan, the firm gave up its registration but continued to provide services, the SEC alleged