The biggest settlement reached during the year was for US$310 million with two Alberta men
Diamondback agrees to pay US$9 million
Awareness must be heightened after an advisor in the U.S. is alleged to have used social media to sell fraudulent securities
Regulator seeks input on investor disclosure issues
A U.S. government report says regulators could improve their oversight of analyst conflicts of interest
Regulator believes ruling harms investors by depriving them of “substantial, certain and immediate benefits”
Charges follow a year-long SEC investigation focusing on preventing fraud in the micro-cap stock markets
An effective risk based branch office inspection program can better protect investors and the firm’s own interests
Neither admitting or denying the contents of a regulatory order leaves the court with no basis to judge the merits of the deal
New Futures Trading raised over US$1.3 million from investors