Firm breached rules by implying regulators endorsed ratings
Initial distribution to unitholders in BFI funds cut by $170 million
Firm pleaded guilty to fraud, conspiracy charges amid wash trading allegations
Rep lost money alongside clients in unapproved outside investment
Betting events amounted to binary options, regulator alleges
Ex-Morgan Stanley advisor pleaded guilty to fraud, other charges
Resolution avoids risk of litigation, insolvency, court finds
Bipartisan proposal would extend anti-retaliation protections, speed up award decisions
In settlement with OSC, executive sanctioned for loss-making insider trading
Total value of investor settlements dip, as cases involve smaller issuers, SPACs