Firm agreed to $100,000 sanction, admitted oversight violations
Motion to stay case alleging abuse of process to be heard in May
The panel imposed $1.1 million in penalties and $400,000 in disgorgement over a fuel-cell scheme
Underlying index failed to screen out tobacco sellers, regulator charged
Julius Baer was fined £18 million for suspect dealings with a Yukos employee
Firm sanctioned over unapproved access to exchange's systems
Focus on greenwashing has heightened regulatory risk for ESG funds, managers
Lack of jurisdiction and evidence of harm underlie the decision not to intervene
Tipster gets US$20 million despite involvement and delay in reporting
Regulators alleged the firm's onboarding process for new reps was deficient