Former CEO awarded $5.3 million in statutory damages for firing
Companies sanctioned in settlement for prospectus, registration violations
Ex-trader faces fraud charges over scheme that promised to front run Berkshire's stock picks
Profitable crypto, FX trades allocated to proprietary accounts over investor pools
Exec sanctioned in settlement for alleged violations of derivatives rules
Settlement to address series of retail, institutional compliance issues
Firm, founder overstated its reliance on ESG considerations, regulator alleges
Social media scheme allegedly netted US$100 million in illicit profits
Trading models secretly changed to boost performance, compensation
Regulator to be quicker to use monetary penalties, add AI to risk management duties