Enforcement

Regulation

NASAA targets brokers that shirk arbitration awards, fines

October 5, 2021 James Langton
Regulation

Court overturns BCSC asset freeze rulings

October 1, 2021 James Langton
Regulation

Ex-rep fined, suspended for churning vulnerable client

September 30, 2021 James Langton
Regulation

TD fined over account fee disclosure failure

September 30, 2021 James Langton
Modern office building close up in sunlight
Regulation

Bennett Jones to represent Bridging Finance investors

September 28, 2021 James Langton
A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t
Regulation

CFTC settles with firm over losses caused by negative oil prices

September 28, 2021 James Langton
Regulation

Wells Fargo settles allegations of overcharging FX clients

September 28, 2021 James Langton
Regulation

MFDA bans rep for dealings with elderly mother

September 28, 2021 James Langton
Regulation

Meme stock options fuelled trading scheme, SEC alleges

September 27, 2021 James Langton
gavel on a laptop
Regulation

Pump-and-dump schemes are now openly orchestrated on social media

September 24, 2021 James Langton
Regulation

Former Wall Street analyst charged with front running

September 23, 2021 James Langton
Regulation

IIROC drops charge against ex-Pace CCO

September 23, 2021 James Langton