Penalties and fines

“I want to give a huge thank you to my clients” for feeding local families, Keith Springer blogged the same day the SEC filed its complaint.

Sixty-six SEC whistleblowers were awarded $387 million for a “job well done,” according to the commission's whistleblower attorney Stephen Kohn.

As the college savings vehicle grows in popularity, regulator up scrutiny of brokerages’ recommendations to clients.

The court is taking up a challenge to one of the agency’s most potent legal weapons.

The agency's goal of trying to recover client losses allows advisors accused of fraud to decide who'll manage their clients’ remaining assets.

The bank will pay $1.25 million for alleged supervisory failures.

The penalties come three months after Merrill Lynch settled similar charges.

The bank allegedly helped French clients evade taxes.

The SEC is giving serious side-eye to firms with part-time or underqualified compliance officers.

The justices said bankers can be held liable for sending clients deceptive information written by others.

The regulator also faulted Merrill’s supervisory policies and procedures.

The advisor and his alleged co-conspirators made $5 million in illicit profits off misappropriated information, according to prosecutors.

The company said it might have to spend as much as $2.7 billion to resolve a variety of investigations and other legal troubles.

Forty-seven investors, some over the age of 63, were among the victims.

The bank was ordered to pay more than $5 billion over a tax-evasion case in France.

Royal Alliance must pay more than $2.5 million to one ex-client while dealing with charges against the firm and a former rep by William Galvin’s office.

The IBD network’s parent repurchased the majority of Dr. Phillip Frost’s shares just before the SEC filed proposed settlements of its pump-and-dump case.

Wall Street’s main regulator has made ADR sales a focus of its enforcement efforts.

The alleged supervisory lapses occurred over a five-year period, according to the regulator.

FINRA says the firm did not disclose necessary client issues or hacking attempts.