U.S. authorities allege that men primarily posed as female advisors
The firm and its founder were permanently banned, fined
Enforcement case volumes decline in fiscal 2024, agency says
Regulators' initiative targets emerging digital risks, broker conflicts
Panel dismisses call for stronger deterrence given risks posed by crypto, social media
SRO considers modernizing rules amid market, investor evolution
In early 2023, banks faced unprecedented deposit outflows, and evidence suggests social media played a role
Tech, crypto schemes top threats to investors, including seniors, NASAA reports
U.K. regulator conducting criminal inquiries, issuing investor alerts
Authorities allege SIM swap enabled access to regulator's social media account