Tip led to millions of dollars being returned to investors
Firm allegedly sold stock based on false hype about its wind turbine technology
SEC and CTFC settle charges against app developer
Regulators said the bank failed to detect the former financier's suspicious account activity
The regulator collected 95% of sanctions in the last fiscal year, boosting its designated fund to $118.4 million
Firm admitted to lapses in oversight involving two reps as well as its options trading system
Firm has compensated clients, enhanced compliance
Referrals between CSA members increased in the last fiscal year
SRO hearing panel ruled the former rep "completely untrustworthy"
Board approves new enforcement system, proposes rule changes