The SEC chair testified before a House Appropriations subcommittee on the commission’s FY24 budget request.

The SEC has been ramping up enforcement against larger participants in the crypto industry.

The Department of Justice also charged Surage Roshan Perera of wire fraud, investment advisor fraud and money laundering, for allegedly defrauding an unnamed investor.

Retired broker Larry Wasserman discovere a flaw in a key bond issue data point.

John Woods pleaded to one count of wire fraud for a Ponzi scheme that stretched over 10 years, according to the DOJ; the fraud also resulted in Oppenheimer & Co. facing a $35 million fine from FINRA arbitrators.

According to the SEC, Darryl Matthew Cohen steered the money for his own use and to fund his son’s basketball league.

The SEC charged Tron founder Justin Sun with selling unregistered crypto assets, and settled charges with Lindsay Lohan, Jake Paul, Soulja Boy and others for touting them.

Bank-affiliated brokers and advisors can expect more scrutiny to ensure bank capital and managed assets are separated, according to bank watchers. But in the eyes of clients, that may make little difference.

Lessons for regulators from three weeks of financial mayhem.