So-called bond flippers prioritized over retail, institutional clients, regulator alleged
Permanent injunction and $3 million in relief ordered against Coinseed and its CEO
The regulator issued more administrative sanctions in 2020–21 than the previous year but monetary sanctions were way down
The SEC has awarded US$2.6 million to an assortment of whistleblowers
Ex-CEO gets five years in jail for initial coin offering scheme
A written hearing will be held to set sanctions in the case
A regulatory hearing panel handed down market bans and monetary penalties
A broker failed to mark trades as short based on bad information from the adviser
Receiver to seek extension for advisory committees, approval for process to find investor counsel
Funds raised ostensibly for a dental drill were diverted for personal use