Eric Lyons is accused of using ill-gotten funds to pay for luxury expenses for his family.
Matthew Rossi blamed $1.8 million in losses on nonexistent rogue trader.
Former CEO maintains that allegations of misconduct are not true.
Regulators agree to continue cooperation uninterrupted after the UK leaves the EU.
Omar Zaki agrees to $25,000 SEC fine, three-year ban from investment industry.
Guidance intended to help investors determine when a digital asset is a security.
Supports SEC in allowing agency to hold individuals liable even if they did not make a statement deemed fraudulent.
Violators agree to return more than $125 million to clients.
Proposition would allow businesses to solicit institutional investor interest before filing an IPO.
The SEC charges nine for trading on non-public information.
Settlement is the SEC’s eighth action against a bank or broker in its ongoing ADR investigation.