#disgorgement

2 stories

#business #edward jones #ejiroghene okuma #equitable #fast-track settlement #finance #finra #monetary threshold #money #restitution #sebi #securities and exchange commission

Sebi Introduces New Settlement Rules
Sebi's new settlement rules simplify calculations and fast-track cases under ₹10 lakh.
The Economic Times · 1m
Former Advisor Sentenced to 7 Years for $10M Fraud
Ejiroghene Okuma, a former financial advisor, received a seven-year prison sentence after defrauding an elderly client of nearly $10 million.
Yahoo Finance · 1m