SRO says high risk, high volume trades, insufficient notes should have raised red flags
Court grants Wealthsimple's application for closing judgment
Maintenance mishap led to failure of market opening auctions
Startup exec lost company's cash in crypto scheme when Terra collapsed
Enforcement action targets weaknesses in AML controls, compliance
Investors were falsely promised pre-IPO access, but money misappropriated
Former clients overcharged, had assets misappropriated
Cases, penalties decline following leadership change, shift in focus
Fashion tech entrepreneur used false financials, audits to secure funding
Firms failed to disclose massive markups on pre-IPO securities