Over $3.4 million of investors' money was diverted to undisclosed uses, regulators found
European regulator said violations involved conflicts of interest
Appeals by advisor, analyst in insider trading case dismissed
Ban, fine of $300K follow repeat episode of unapproved outside business activity
Panel orders penalties for disgorgment and deterrence
Firms allegedly made misleading statements about their use of AI in investing strategies
Crypto lending program amounted to unregistered securities offering, regulator charged
SRO brings first case following compliance review targeting firms' use of online influencers
Pump-and-dump scheme used high-pressure cold calls, targeted seniors
Serving as a client's executor totally incompatible with rep's role, panel says