Former fund rep was named in clients' wills and solicited money from them
Regulator saw several high-profile cases against crypto giants
Regulator to pay between $1,000 and $500,000 for enforcement tips
Firm sanctioned over capital issues, internal controls and record-keeping
Panel defers penalties while ex-rep repays clients
Accounting for internal software development violated securities rules
Banker tipped pal with inside info on potential M&A deals
Trio charged over alleged crypto fraud scheme
Ex-NBF rep admitted to misappropriating clients' funds, as well as other violations
The four face SEC and DoJ charges for allegedly opening hundreds of sham accounts