An individual and a firm must pay almost $2.75M
A review found that 17% of board seats are now held by women, up from 15% a year ago
Church misled investors about where their money was going
The registrations for Wells Asset Management System were terminated
The ASC imposed a one-year ban on the man in 2015
The ASC ordered a permanent ban, $400K fine and millions in disgorgement
Regulator seeks to boost market activity following declines in energy sector
Rep admitted to making late-day trades in a venture stock on behalf of a client
Each will serve three-year terms
Former fund rep admitted to advising without registration and misleading investors