SEC Levied Record $3.4B in Fines in 2013
But brokers and advisors were hit with fewer enforcement actions this year, the SEC says.
Hedge Fund Manager Falcone Agrees to Pay $18M to SEC, Admits Wrongdoing
Hedge fund manager Philip Falcone and his advisory firm, Harbinger Capital Partners, settled their fraud case with the SEC on Monday...
SEC Charges Falcone, Harbinger Capital With Fraud
The charges "read like the final exam in a graduate school course in how to operate a hedge fund unlawfully," the agency says.