Regulation

Ex-broker pleads guilty in crypto fraud case

Clients' assets misappropriated rather than invested, U.S. authorities charged

By James Langton |September 20, 2023

2 min read

SEC alleges Virtu failed to guard client data

Firm rejects regulator's allegations, cites political motive for action

By James Langton |September 13, 2023

3 min read

Dude, where’s my enforcement action?

SEC sanctions Stoner Cats creator over NFT sales

By James Langton |September 13, 2023

3 min read

SEC sanctions firms’ theoretical returns reporting

Investment advisers violated revised marketing rules, regulator alleges

By James Langton |September 12, 2023

1 min read