Regulator puts twice-delayed research effort on backburner
Effort to gain insight on dealers' clients will seek data from year-end 2026
Leverage strategy deployed on the down low resulted in hefty financial losses
Court rules no evidence of common breach, given differences among investors
Court rejects appeal of finding that firm could be prejudiced by settlement
Both sides appealed rulings involving rep inheriting client's estate
SRO consults on options for resolving long-standing regulatory disparity
SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies
Appeal Court finds alleged fiduciary duty breach can be basis for class action
Groundbreaking securities lawyer, Glorianne Stromberg, dies