Appeal court rules that regulator was right to allow orders issued in investigation
Subsidiaries allowed institutional investors to trade before getting the regulator's approval
Firm ignored clients' investment limits to prop up failing penny stock, regulator alleges
SEC also awards whistleblower who initially tipped off their lawyer
The regulator alleges that the founders diverted money raised for the fund to other purposes
Former Nomura trader gets probation for 2017 conspiracy conviction
SEC says "free" trading cost customers US$34 million in poor pricing
NASAA reports that regulators have uncovered 262 Covid-19 schemes
The two firms failed to receive approval before providing institutional investors with trading access
Risk of harm to disciplined rep outweighs risk to public, regulator finds