Enforcement

Regulation

SEC sanctions Cantor Fitzgerald for data failings

April 7, 2020 James Langton
Regulation

Rep fined, suspended for misconduct

April 7, 2020 James Langton
Regulation

Expert analysis leads to OSC whistleblower award

April 6, 2020 James Langton
Regulation

Another SEC tipster gets paid

April 3, 2020 James Langton
Regulation

Best interest standards on track for mid-2020: SEC

April 2, 2020 James Langton
Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin
Regulation

NASAA sees scam surge on the way

March 30, 2020 James Langton
Regulation

After in-house reporting fails, tip to SEC pays off

March 30, 2020 James Langton
Regulation

OSC settles unregistered trading case

March 23, 2020 James Langton
Regulation

Tipster gets US$1.6 million award from SEC

March 23, 2020 James Langton
Regulation

TD Waterhouse fined $4 million for ignoring CRM2

March 23, 2020 James Langton
Regulation

Court denies bid to re-examine client overcharging

March 20, 2020 James Langton
Regulation

Conviction stands, but no jail for former rep

March 18, 2020 James Langton