Another 10 firms sanctioned for extensive recordkeeping violations
SEC, SDNY file securities fraud and conspiracy charges
Serial scammer duped companies out of over US$1 million to fund fictional investigations
Investors were promised profits from crypto trading and mining
Firm admitted insider trading, abusive market conduct
Regulator says host touted real estate investment scheme that took US$11 million from investors
The firm's U.S. advisory unit will pay US$25 million to resolve charges
Clients' assets misappropriated rather than invested, U.S. authorities charged
Trading ahead of pending merger deals led to SEC charges
Whistleblowers provided extensive ongoing cooperation, regulator said