Former senior executive pleaded guilty to trading ahead of deteriorating results
Adjudicator rejects $213M claim against Bridging flagship fund
Investors lost $9.8M on investment that turned out to be a fraud
SRO proposes added measures to protect investors from exploitation
Bank manager processed US$92 million worth of transactions for ring
Class action brought on behalf of full-service clients with funds that paid trailers
SEC, DoJ charge six in market manipulation, insider trading schemes
Customers paid higher fees, got less interest on cash balances: FINRA
CFTC pays second award of 2025, SEC's payouts out of the spotlight
Accountant allegedly found assets used to lure investors to schemes