According to the commission, Alexandra H. Cock and her firm, Wealth Plus, raised more than $2.5 million in securities in two real estate investment management companies that defrauded investors of millions of dollars.
Hwang, the billionaire behind Archegos Capital Management, is facing 380 years in prison.
James Iannazzo was granted entry into an accelerated rehabilitation program which places him under supervision for one year, after which the charges against him will be dismissed.
The $3.6 billion HighPoint Advisor Group agreed to pay more than $760,000 and will also help return funds to harmed clients, according to the SEC order.