The derivatives regulator alleges the defendants made misleading statements in email ads and in an online trading room
Investment adviser firms were the state regulators' top targets in 2018
The pair pleaded guilty to 171 securities law violations
Deadline to file a compensation claim is Dec. 6
Options Clearing Corp. settled the case without admitting or denying the regulators' findings
After reaching settlements with TD and RBC, the OSC put other firms on notice
Breaking down how the OSC calculated penalties for TD and RBC
Banks settle allegations over FX traders sharing confidential info
Former executive allegedly involved in scheme to inflate the value of company's bond portfolio
A tipster was awarded US$1.8 million for reporting misconduct committed overseas