Firm failed to reveal conflicted fee payments, regulator charged
Former firm provided reps with improper incentives, regulator alleged
Whistleblower first reported suspected misconduct internally, regulator said
Back-office snafu meant clients didn't get discounts on standard fees
Company allegedly facilitated in washing over US$1 billion in criminal proceeds
Former OpenSea product manager sanctioned for scheme
Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement
Proposal would allow enforcement money to be used for IT projects and new innovation office
Long-time SRO employee tapped to head division
Robo-advisor violated rules when touting hypothetical performance