Investors misled about rep's trading success, disciplinary history
Regulator alleged firm failed to protect clients' trading data
Investor tried to argue that rep's title misled the courts
SRO alleged investors paid US$2 million in fees for short-term sales
Tech companies pulled into effort to tackle large scam operations
Firm paid $4.6 million in client compensation, clawed back reps' fees
Regulator brings first enforcement action against a professional body
Firm fined for series of violations uncovered in compliance exam
Receiver permitted to market assets, despite lack of enforcement allegations
MSC finds no error with panel's findings against former fund rep