The regulator reminded insurers to watch over agents, including MGA reps
Poor advice and fees for no advice prompt client compensation
Inactive company saw trading spike amid online chatter
A hearing panel ordered a penalty that was lower than what enforcement staff sought
Halfway through an SRO ban, ex-rep agrees to new suspension
An Australian man pleaded guilty after draining almost US$90 million from investors
Regulator says firm used Ponzi tactics to fund distributions
Ontario's attorney general has recovered another $350K in a case where investors lost $1.7M
The SRO panel's ruling was reasonable, the regulator said
Regulator says trader moved swap spreads to benefit bank at client's expense