Reps fined, banned for personal financial dealings with clients
Report details liquidity, leverage, valuation, and contagion risks lurking in commercial real estate sector
Firm repaid almost $600,000 to client for losses, DSC fees, tax, lost gains
Analyst traded on confidential info ahead of public disclosure
Court confirms that regulator's order targeting ill-gotten gains can't be wiped away
SEC issues required new guidance on criminal referrals
Paper proposes changes tailored to the unique features of ETFs
Court ordered website blocks to take effect in August
Tribunal calls misconduct possibly the "most egregious" it has seen
Wide range of proposals, from market structure to broker conflict issues, dropped