SEC
US warns wealth managers of Russian cyberattacks
Financial regulators have echoed those concerns in notices to the public
US regulator fines 12 firms for regulatory breaches
It has now charged 42 companies for failing to meet client reporting obligations
Investment | 2 Feb 22
SEC charges adviser for role in multi-million-dollar scheme
Clients were allegedly told to invest their money into gold and silver coins
Regulator charges ex-UBS adviser with stealing $5.8m from client
He allegedly spent most of the money on ‘gifts for several women with whom he had romantic relationships’
$18m Ponzi scheme couple charged
Alongside five other entities used to receive investor funds