SEC, DoJ file allegations against HyperFund promoters
Tribunal accepts settlement with crypto project founders, including more than $1.5 million in sanctions
The panel found a rep's misconduct to be serious, but not fraudulent or deceitful
Former rep admitted to misappropriation
Panel said penalty should be bigger than regulator requested
After partly overturning SRO's ruling, tribunal reduces fine, disgorgement orders
Firms were allowed to collect trailers before the CSA ban, court rules
Money laundering lawyer gets 10 years in prison
Client cashed RRSPs, paid DSCs, and took credit card advance to lend to rep, regulator alleged
Compliance review finds potential violations in 70% of firms' messages