Firm engaged in market manipulation for hire, SEC alleged
Fund investors charged millions in fees on falsely inflated fund values
SRO proposes rule changes that give firms time for appeals to SEC
Regulator proposes broad prohibition on trading in connection with offerings
Population of companies using system has shifted from Canada to China, Caymans
Firm provided advice on municipal offerings that needed registration
Ponzi scheme targeted elderly churchgoers, U.S. authorities charged
SRO aims to ease compliance, adjust limit to inflation
Broker failed to meet gatekeeper obligations, missed red flags, when trading penny stocks for U.K. firm
Alleged scheme sold US$46 million in phantom interests in genuine vehicles