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Company: Alberta Securities Commission

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Alberta man facing fraud charges

The man is alleged to have "fraudulently raised" more than $2 million from 11 investors

ASC warns investors of opportunities ‘too good to be true’

Help clients spot these common investment traps

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

Canadians charged by SEC for penny stock trading

U.S. regulators lay charges in an alleged international microcap trading fraud

Gavel and legal books

ASC sanctions advisor who served clients with a suspended registration

The advisor had been in the industry for 30 years

Block letters spelling fraud, with magnifying glass

ASC panel bans, fines Ponzi schemers

An individual and a firm must pay almost $2.75M

Young Businesswoman Addressing Boardroom Meeting

Female execs remain scarce, as directors gain ground

A review found that 17% of board seats are now held by women, up from 15% a year ago

gavel

Lutheran Church admits to breaching securities laws

Church misled investors about where their money was going

rules and regulations written on folder

Alberta firm gives up registration, ASC reports

The registrations for Wells Asset Management System were terminated

Judge gavel, scales of justice and law books in court

Alberta man previously banned by ASC gets jail time

The ASC imposed a one-year ban on the man in 2015

  • By: IE Staff
  • July 24, 2019 November 13, 2019
  • 14:14
agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

Former planner disciplined over failed investment scheme

The ASC ordered a permanent ban, $400K fine and millions in disgorgement