After being acquired by JP Morgan, the firm gave up its registration but continued to provide services, the SEC alleged
Ex-rep admitted to misappropriating money and undisclosed borrowing from a client
The RCMP alleges the former rep engaged in unauthorized trading and secret commissions
Traders allegedly paid for tips from investment bankers and corporate insiders
FINRA has fined the firm and ordered restitution for early rollover recommendations
The regulator reduced penalties against an advisor after finding errors in the SRO's decision
The client was repaid, but the funds used to repay the client came from a mysterious source
A judge has given PwC 60 days to sort out funds' finances before appointing lawyers to represent investors
A trader has been sentenced for "spoofing" after being convicted by a Chicago jury
The allegations stem from illegal cannabis production that was discovered in 2019