Pair stole millions from clients, including vulnerable investors
Absent overriding error, panel's decisions should get deference, court says
Insurer, MGA fined a total of $115K for paying commissions
Firms falling short of regulator's expectations under investor duty
Regulator details enforcement priorities for the year ahead
Company made misrepresentations to investors, diverted funds
U.S. authorities allege that executive ran complex fraud scheme
B.C. court allows plaintiffs to amend arguments in action against RBC GAM
Removing sanctions would undermine deterrent, plan speculative, panel finds
Disciplinary committee concludes prop trades took advantage of client