Enforcement

Regulation

Ransomware attacks on the rise, IIROC warns

March 16, 2021 James Langton
Regulation

Fund rep fined, banned for misconduct

March 16, 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

SEC alleges trader used tweets to pump and dump stock

March 15, 2021 James Langton
Regulation

FINRA tackles the problem of repeat offenders

March 12, 2021 James Langton
a man interrupts a cascade of falling dominoes
Regulation

Beware of celebrity-backed SPACs, SEC warns

March 12, 2021 James Langton
Regulation

McAfee founder in the “doge” house, charged with crypto fraud

March 5, 2021 James Langton
Regulation

The next step in sustainability: ESG enforcement

March 4, 2021 James Langton
Regulation

Four tipsters, but just two awards

March 4, 2021 James Langton
Regulation

Canadian shell fell into alleged fraudsman’s hands, SEC charges

March 2, 2021 James Langton
Regulation

New York attorney general warns of “extreme” crypto risks

March 1, 2021 James Langton
Regulation

SEC suspends 15 stocks, citing social media hype

February 26, 2021 James Langton
a man interrupts a cascade of falling dominoes
Regulation

Ex-regulator gets 10 years for aiding fraudsman

February 25, 2021 James Langton
Metal handcuffs placed over the word fraud