Well, for starters, they were operating as an unregistered broker. [1] So I'm guessing that they were already in trouble for that, first, and the rest was turne

Well, for starters, they were operating as an unregistered broker. [1] So I'm guessing that they were already in trouble for that, first, and the rest was turned up in the course of investigating and prosecuting that case. [1]: https://www.sec.gov/litigation/litreleases/2017/lr23830.htm https://www.sec.gov/litigation/litreleases/2017/lr23830.htm