Enforcement

Regulation

SEC steps up fight with proxy advisors

September 8, 2026
SEC
Regulation

Advisor sanctioned for taking client info

September 8, 2026 James Langton
Segment your clients based on demographics
Regulation

Court rejects rep’s suit against regulators

September 8, 2026 James Langton
Court ruling
Regulation

Ex-rep sanctioned for unauthorized transfers

September 7, 2026 James Langton
Piggy banks on stacks of gold coins
Regulation

Lender run as a Ponzi scheme: U.S. authorities

September 4, 2026 James Langton
calendar court
Regulation

Supreme Court declines to hear appeal on experts

September 3, 2026 James Langton
Supreme Court of Canada building in Ottawa
Regulation

FINTRAC sanctions Maritime gamers

September 3, 2026 James Langton
Regulation

Ditching a DB pension plan a bad idea: FCA

September 3, 2026 James Langton
Canadians worried about retirement costs
Regulation

Pre-IPO platform duped investors

September 2, 2026 James Langton
Regulation

Pair charged in real estate investment scheme

September 2, 2026 James Langton
Tiny bank
Regulation

No diamonds, just rough, SEC alleges

September 2, 2026 James Langton
mining for diamonds
Regulation

Attorney, podcaster accused in Ponzi scheme

September 2, 2026 James Langton
stealing money