The firms have agreed to pay more than US$9.5 million to resolve the charges
Peter Driscoll named chief risk and strategy officer
The former head of Crucible Capital has been banned from the industry
The U.S. regulator alleged that the analyst certified a rating on a stock that was inconsistent with his personal view
Starting May 16, companies can use crowdfunding to offer and sell securities to the investing public in the U.S.
72 firms charged since June 2015
Barclays Capital, Credit Suisse Securities paying more than US$150 million to settle charges with SEC
QED Benchmark Management LLC and Peter Kuperman agree to reimburse investors US$2.9 million losses
Researcher’s analysis led to enforcement action
New areas of focus include ETFs, variable annuities and liquidity controls