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High angle view of mallet eyeglasses legal book in courtroom

The firm will pay a $250,000 fine and $50,000 in costs

cannabis plant

Regulator says company executives diverted investor funds for personal gain

gavel

Church misled investors about where their money was going

Gavel and legal books

David Middendorf was convicted of wire fraud charges back in March

Judge gavel, scales of justice and law books in court

The derivatives regulator alleges the defendants made misleading statements in email ads and in an online trading room

Closeup of mallet being hit on stacked coins at table in courtroom

Investment adviser firms were the state regulators' top targets in 2018

Closeup of mallet being hit on stacked coins at table in courtroom

The pair pleaded guilty to 171 securities law violations

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Deadline to file a compensation claim is Dec. 6

Closeup of mallet being hit on stacked coins at table in courtroom

Options Clearing Corp. settled the case without admitting or denying the regulators' findings

tax inspector investigating financial documents

After reaching settlements with TD and RBC, the OSC put other firms on notice