SRO panel found the rep opened banking products, including a line of credit, in the client's name
Fourth case certified involving funds paying trailers to discount brokers
Real estate funds pose potential systemic risks, report says
SEC, DoJ file allegations against HyperFund promoters
Tribunal accepts settlement with crypto project founders, including more than $1.5 million in sanctions
The panel found a rep's misconduct to be serious, but not fraudulent or deceitful
Study participants preferred to rely on the knowledge of professionals rather than learn about investing
Regulator to finalize new guidance by the end of 2024
Former rep admitted to misappropriation
Panel said penalty should be bigger than regulator requested