New Brunswick and Quebec regulators had previously warned investors about WCM and WCM777
U.S. regulator alleges “scalping” scheme raised US$1.9 million
Firm admits to disclosure failings
Agencies would be subject to new requirements regarding their financial risk management, operations, governance, and disclosure
Court order shuts down website of alleged pyramid scheme
Swiss bank settles with SEC over serving U.S. clients without proper registration
March 26 meeting to discuss issues and challenges facing financial firms and public companies
Rick Fleming to head Office of the Investor Advocate
Risk alert examines the due diligence advisors use when they put clients into alternative investments
U.s. regulator to focus on fraud and sales practices, among other issues