Enforcement | Investment Executive https://www.investmentexecutive.com/tag/enforcement/ Canada's news source for financial professionals Fri, 16 Jan 2026 21:43:39 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Enforcement | Investment Executive https://www.investmentexecutive.com/tag/enforcement/ 32 32 Hey Grok, supercharge my crypto scam! https://www.investmentexecutive.com/uncategorized/hey-grok-supercharge-my-crypto-scam/ Fri, 16 Jan 2026 21:43:39 +0000 https://www.investmentexecutive.com/?p=529655 Crypto fraud rising, as scams scale up and adopt AI tools: report

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]]> OSC plans payout to victims of binary options scheme https://www.investmentexecutive.com/uncategorized/osc-plans-payout-to-victims-of-binary-options-scheme/ Fri, 16 Jan 2026 21:31:51 +0000 https://www.investmentexecutive.com/?p=529646 Court appoints BDO to administer claims from investors

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]]> Unprofessional conduct results in CIRO sanctions https://www.investmentexecutive.com/uncategorized/unprofessional-conduct-results-in-ciro-sanctions/ Fri, 16 Jan 2026 17:47:47 +0000 https://www.investmentexecutive.com/?p=529610 SRO failed to prove certain allegations, investor harm

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]]> Rep turned fraudster sanctioned by CIRO https://www.investmentexecutive.com/uncategorized/rep-turned-fraudster-sanctioned-by-ciro/ Fri, 16 Jan 2026 17:43:01 +0000 https://www.investmentexecutive.com/?p=529587 Regulatory action deals with subset of $1.8 million misappropriation

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]]> Proposed fine too light, CIRO panel finds https://www.investmentexecutive.com/uncategorized/proposed-fine-too-light-ciro-panel-finds/ Thu, 15 Jan 2026 22:15:23 +0000 https://www.investmentexecutive.com/?p=529541 Triple the proceeds of misconduct deemed more adequate deterrent

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]]> Clinical trial results drove insider trading: SEC https://www.investmentexecutive.com/uncategorized/clinical-trial-results-drove-insider-trading-sec/ Thu, 15 Jan 2026 20:23:07 +0000 https://www.investmentexecutive.com/?p=529535 U.S. authorities allege biostatistician traded on cancer drug data

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]]> Six arrested in probe of U.K. housing REIT https://www.investmentexecutive.com/uncategorized/six-arrested-in-probe-of-u-k-housing-reit/ Thu, 15 Jan 2026 15:18:02 +0000 https://www.investmentexecutive.com/?p=529471 Concerns about company were raised by short sellers in 2022

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]]> BCSC adds to ex-rep’s CIRO sanctions https://www.investmentexecutive.com/uncategorized/bcsc-adds-to-ex-reps-ciro-sanctions/ Thu, 15 Jan 2026 15:10:27 +0000 https://www.investmentexecutive.com/?p=529475 Former rep traded investors' discount brokerage accounts for them

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]]> SEC drops accounting fraud case against mining exec https://www.investmentexecutive.com/news/sec-drops-accounting-fraud-case-against-mining-exec/ Tue, 13 Jan 2026 14:24:40 +0000 https://www.investmentexecutive.com/?p=529201 Regulator settled with Rio Tinto, former CEO in 2023

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]]> Ontario court blasts Binance’s legal tactics https://www.investmentexecutive.com/news/ontario-court-blasts-binances-legal-tactics/ Mon, 12 Jan 2026 22:09:01 +0000 https://www.investmentexecutive.com/?p=529173 Courts awards plaintiffs' costs, criticizes effort to force foreign arbitration

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