The former rep has been permanently banned and ordered to pay more than $1.6 million
The vigilant enforcement of professional standards is essential to protect consumers and to maintain the integrity of the financial planning profession
Eighteen traders generated at least US$31 million in illicit profits, regulator says
Firm fined £15.4 million for its misconduct
The firms allegedly used phantom bids and false communication to increase trading activity
Firm's traders believed that the exchange allowed the transactions in question
The regulator ruled that the company violated federal securities laws and ordered it to pay a US$24 million penalty
Permanently banned from Ontario's markets, Tang may now be soliciting investors in Quebec
The regulator introduced measures to protect retail investors from complex, high-risk products in 2018
Investors allegedly weren't told that managed account products used proprietary funds