Agency alleges breaches discovered in compliance exam
Regulators attack scourge of online scams at the source
OSC had previously placed restrictions on the man as a mutual fund rep and volunteer minister
SEC, DoJ allege that scheme started on social media
"Dot-com" era conflict restrictions no longer needed, regulator agrees
More than $100M in unpaid taxes on crypto collected in the last three years
Investors misled about rep's trading success, disciplinary history
Regulator alleged firm failed to protect clients' trading data
Investor tried to argue that rep's title misled the courts
SRO alleged investors paid US$2 million in fees for short-term sales