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Keyword: Enforcement

1189 results found
handshaking and exchanging contract documents

The relationship with IIROC may change how firms approach OBSI inquiries, a letter says

Whistleblower

Three victims of fraud notified SEC of scheme targeting retail investors

Block letters spelling fraud, with magnifying glass

An individual and a firm must pay almost $2.75M

gavel

The former rep was being investigated for allegedly liquidating his father's investment accounts

gavel

Firm and its founders ordered to pay US$6.9 million

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Tower Research Capital will pay US$67.4 million

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

Firms allegedly charged excess fees on education savings plans

gavel

The increases came in spite of the U.S. federal government shutdown

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

The banks participated in a deal to help sell off Royal Dutch Shell plc's 8% stake in Canadian Natural Resources Ltd.

Whistleblower

A sports auction site allegedly required investors to sign an agreement stating they would not report violations to the SEC