Home Enforcement

Keyword: Enforcement

985 results found
Closeup of mallet being hit on stacked coins at table in courtroom

The advisor later admitted to making unsuitable recommendations to clients

meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

A female advisor misappropriated more than $31,000 from her father, who was a client

gavel with $100-bill background

Eric Tremblay admitted he misled OSC staff investigating insider trading involving Amaya Gaming Group

meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

A 2016 compliance exam identified inadequate due diligence with regard to exempt market products

Washington DC skyline with Monument Capitol and Abraham Lincoln memorial

Credit rating agency agrees to pay more than US$16 million in penalties

Gavel and legal books

The commission set aside the decisions of an IIROC hearing panel and substituted its own decisions

High angle view of mallet eyeglasses legal book in courtroom

Harold Backer induced clients to invest in non-existent mutual funds

Judge gavel, scales of justice and law books in court

The regulator alleges Marc Cohodes made misleading claims about Badger Daylighting Ltd. while shorting its stock

Judge gavel, scales of justice and law books in court

David Gary Durno implemented an active trading strategy for two senior clients that “generated large commissions for himself and his firm but reduced client profits”

High angle view of mallet eyeglasses legal book in courtroom

The advisor borrowed money from a client, representing “breaches of duties which lie at the very root of the agent-client relationship”