A 40-month prison sentence "underscores the seriousness" of the crimes, lawyer says
The advisor had been in the industry for 30 years
The relationship with IIROC may change how firms approach OBSI inquiries, a letter says
Three victims of fraud notified SEC of scheme targeting retail investors
An individual and a firm must pay almost $2.75M
The former rep was being investigated for allegedly liquidating his father's investment accounts
Firm and its founders ordered to pay US$6.9 million
Tower Research Capital will pay US$67.4 million
Firms allegedly charged excess fees on education savings plans
The increases came in spite of the U.S. federal government shutdown