Merrill Robertson and his partner in an investment firm allegedly stole from investors to finance their "luxurious" lifestyles.
The SEC says cardiologist Edward Kosinski traded in the shares of Regado Biosciences based on his knowledge of a heart drug trial.
The SEC says the developers of a complex outside of Atlanta used investor funds to pay for lavish shopping sprees.
Among other things, the accountant and his firm failed to detect fraudulent sales and identify related-party transactions, says the SEC.
The company will restructure its compensation system to settle FTC charges that it made false promises to distributors about their potential income.
The SEC says Thomas Avent's broker paid him $50,000 for tips about pending deals involving KPMG clients.
Texas oilman Chris Faulkner allegedly spent at least $30 million in investor funds on a “lifestyle of decadence and debauchery.”
The Bank of America unit violated broker-dealer rules that require customer cash and securities be safeguarded in case a firm fails.
The medical device maker will pay $15 million to settle SEC charges that a Danish subsidiary "allowed itself to be used as a slush fund."
The California-based adviser lied about being a CPA and funneled $33 million to a struggling online ticket business.