Pro golfer Phil Mickelson was not charged but agreed to pay back the profits on the trades he made.
Proceeds from the sale of limited recourse bonds issued by an affiliate of the Oglala Sioux Nation were used to buy homes, cars, trips, and jewelry.
The SEC says two former executives of eAgency claimed they owned millions of dollars of stock warrants in the mobile security company.
ForceField Energy's ex-chairman allegedly paid a publisher and others to hype its stock in exchange for kickbacks they did not disclose.
The SEC says Santos, Postal & Co. failed to properly scrutinize an investment adviser who embezzled $670,000 from clients.
The executive and a former Logitech controller are accused of inflating the company's operating income in fiscal 2011.
The heightened scrutiny could result in a mass exodus of compliance officers from their positions, research suggests.
Prosecutors say it is the first criminal case to allege accounting fraud against city officials in connection with the sale of municipal bonds.
A former analyst at a New York hedge fund traded on information about Apollo Global Management's buyout of ADT.
The SEC says Ken Paxton hyped Servergy to investors without disclosing he had been paid for his promotional efforts.