Latest sanction the result of misleading regulators about firm’s ownership and control.

He admitted to outside business activity that was not approved of by his firm.

Regulator analyzes feedback to policy options proposed in January.

Respondent outsourced complaint handling in 2017.

She stated that she acted on instructions from her supervisor.

Defrauded and bankrupt rep “largely the architect of her current financial misfortune.”

Order execution only firm agrees to pay more than $8.8-million for recommending investments.