Regulator to pay between $1,000 and $500,000 for enforcement tips
Firm sanctioned over capital issues, internal controls and record-keeping
Panel defers penalties while ex-rep repays clients
Accounting for internal software development violated securities rules
Banker tipped pal with inside info on potential M&A deals
Trio charged over alleged crypto fraud scheme
Ex-NBF rep admitted to misappropriating clients' funds, as well as other violations
The four face SEC and DoJ charges for allegedly opening hundreds of sham accounts
SRO executive leaves after nine years at the agency
Auditors altered computer settings to circumvent firm's controls