Regulator says US$45-million fraud followed an alleged secret takeover of a company
Brokers, advisors could face civil and criminal liability for misconduct, alert warns
Regulator concerned that investors may be duped by efforts to pump dormant stocks
Antiguan authority admitted obstructing SEC investigation into Stanford scheme
Anti–money laundering rules provide greater investigative powers and allow higher penalties
The regulator will offer civil and criminal immunity for ratting out insider trading and market manipulation
The regulator says it will contact clients directly as part of compliance reviews
A tip that generated SEC and DoJ enforcement action has garnered two financial awards
Firm self-reported violations, took remedial action and is seeking EMD status
Regulator pays out another US$3 million for enforcement help