The charges come two years after the automaker settled with the U.S. over criminal and civil charges
Four investment firms cited for lax due diligence efforts
The SEC says the rep was involved in a penny stock market manipulation scheme between 2008 and 2014
The man was arrested last fall after a joint effort from B.C. and Ontario regulators
Two former senior investment bankers have been banned permanently from the U.S. banking industry
The regulator plans to take action against firms that engaged in misconduct
The firms admitted to failing to properly disclose ongoing mutual fund fees to clients
The lawyer failed to identify that a former client was allegedly engaging in a market manipulation
Sanctions ordered against three people and a firm
Regulator orders almost US$1 million in sanctions, disgorgement and restitution