Panel finds Jeanette Couch misled investors, perpetrated fraud; $750,000 penalty imposed
Hearing panel denies bid by Hampton Securities chairman to remove notice
Karl Werbes ordered to pay $25,000 penalty
Although securities regulators’ enforce-ment numbers were down in 2011, they are stepping up in other key areas
Anu Jain permanently banned from acting as a supervisor for facilitating stealth advising by an unregistered person
Illegal distributions account for much the charges and investigations
65 complaints investigated
Former Peak Securities rep had undisclosed financial arrangements with clients
Investment firm granted bankruptcy protection