The former rep borrowed more than $100,000 from clients
Reviewing common disciplinary actions can help protect your practice
The former CEO was given a 50-month sentence after inflating funds' net asset value
Fines, restitution and disgorgement awards were up 39% from the previous year
Effective Jan. 1, "mini-bonds" cannot be marketed to retail investors in the U.K.
The banking giant resolved the case for £43.9 million
The broker also facilitated manipulative trading in a U.S. company, authorities said
Question raised about whether BCSC had jurisdiction
Retail investors allegedly paid fees for active management they did not receive
SEC also enjoyed a record level of co-operation in its enforcement efforts