Record-setting payout follows tip that caused regulator to widen ongoing investigation, prompted action from a second federal agency
ASC, OSC give firms deadline extension on derivatives data reporting
Investors argue it would be unfair for them to subsidize other victims
OSC sought to extend order until enforcement proceedings complete
Firms with history of misconduct identified on BrokerCheck system
Almost half of high-risk agent reviews found best-practice failures
Former CFO embezzled US$5 million to trade meme stocks, crypto
U.S. court orders US$3.4 billion in penalties and restitution in global forex fraud
Regulator will issue penalties, without hearings, for minor rule violations
Institutional investors seek distribution from failed fund manager