Cases, penalties decline following leadership change, shift in focus
Fashion tech entrepreneur used false financials, audits to secure funding
Firms failed to disclose massive markups on pre-IPO securities
Rep allegedly exploited credit brokers provide to facilitate new client trading
SRO modernizes rules on industry gifts, codifies guidance, exemptions
Firm agrees to proxy voting changes, US$29.5 million payment, to end case
Retail investors targeted by so-called investment groups on social media