Self-styled 'Millionaire Maker' fined for breaching fiduciary duties.
SEA 1934 Rule 15(a)
The four settlements come nearly one year after the SEC sued SolarWinds for misleading investors about its cybersecurity controls.
This marks the first time the SEC has gone after a large OTC crypto market maker for failing to register as a broker-dealer.
A tale with some interesting twists and turns and a colorful character at the center of it all.
New rules require firms that routinely deal in US government bonds to register as broker-dealers and face stricter oversight.
In this week’s roundup, we see a mix of charges, including disclosure failings within a donor data management software company.