U.K. regulator warns financial firms against tied selling to troubled companies
The regulator has extended the ban indefinitely
Firm must pay $250,000 fine and costs
Panel orders almost $37 million in disgorgement and penalties
Regulator seeks tools for sniffing out unregistered foreign firms
The ex-MFDA advisor admitted to misappropriating clients' funds and other improper dealings
Pair owes $19 million to the BCSC over a market manipulation case
Insider trading scheme preyed on hack into SEC's filing database
The firm admitted its failings and took action to repair its trade reporting
An IIROC panel found the rep engaged in improper personal financial dealings with a client and misled investigators