U.S. regulator alleges Berkley Capital Management defrauded clients of US$2.5 million
SRO aims to speed up settlements
The SRO commenced a record 136 disciplinary proceedings last year
One accused has been arrested, while another remains at large
BCSC hearing panel finds investors were defrauded of more than $1.1 million
The CFTC alleges the internet fraud generated more than US$17.8 million
SRO seeks comment on minor contravention program and early resolution offers. The programs would contribute to enhanced efficiencies and faster resolutions
The former broker admitted to recommending unsuitable high-risk investments to multiple clients
The regulator has filed a civil enforcement action in federal court against several Florida-based firms
IIROC claims firm failed to provide clients with position cost information in quarterly account statements