Richard Lian and Enna Keller raised US$3.2 million from investors by selling securities in a company subject to a cease-trade order
The measures will mean cost savings for dealers and relief for investors in the province
FS Financial Strategies Inc. and various affiliated firms have raised approximately $36 million from more that 300 investors without filing a prospectus
The regulator recovered the funds under a settlement agreement with Keith Henry Alexander, an investor in a Ponzi scheme who brought in other investors
The first phase of a three-part research project on the impact of CRM2 finds that many don’t know how advisors are paid or the types of fees they pay
Ponzi scheme ran by Rashida Samji collected money ranging from $50,000 to $12 million from investors over a nine-year period
Douglas Muir named director of enforcement
Roberto Castano ordered to pay $1.5 million in restitution to victims of Ponzi scheme
Investors harmed by misconduct
BCSC compliance report card reveals recurring deficiencies in relationship disclosure