Investors, mainly seniors, duped in pooled fund scheme, SEC charged
Regulator aims to reduce burden by relaxing portfolio reporting rules
Execs misappropriated tokens from "locked" liquidity pools
SRO crafts exception from ban on using performance projections
Firm breached fiduciary duty by unfairly allocating losing trades to clients
Firm allegedly touted stocks on social media, while selling its holdings
Exec misled investors by inflating target's revenues to enable SPAC deal
Long-running scheme misled investors on stock markups, fees
Court orders prison, restitution for misappropriating investors' money
Company, executives agree to settle allegations, pay US$41 million