Clients lost millions on futures trading that generated large commissions
In its most recent fiscal year, the regulator commenced enforcement with proposed penalties of $2.8 million
Scheme exploited information about companies picked up at fund management job
Pair sentenced in connection with a boiler room scheme
Judge set the bar too low in granting regulator's application, real estate firms argue
Scheme exploited trading credits offered by brokerage firms
Police allege financial institutions defrauded in money laundering scheme
Regulators warn about investors being misled by inflated venture acquisitions
Compliance review uncovered weaknesses in firm's anti-money laundering processes
Echelon Partners failed to guard against clients' potentially-suspicious trading in U.S. OTC markets