Investors were falsely promised pre-IPO access, but money misappropriated
Former clients overcharged, had assets misappropriated
Cases, penalties decline following leadership change, shift in focus
Fashion tech entrepreneur used false financials, audits to secure funding
Firms failed to disclose massive markups on pre-IPO securities
Rep allegedly exploited credit brokers provide to facilitate new client trading
Firm agrees to proxy voting changes, US$29.5 million payment, to end case
Scheme to boost stock price claimed that Berkshire bought insurer's stock
Firm failed to adjust loan pricing to reflect impact of market turmoil
Revisions aim to clarify, streamline certain enforcement practices