Enforcement

Regulation

SEC sanctions Citigroup for overbilling certain advisory clients

January 26, 2017 James Langton
Regulation

MFDA bans advisor for personal financial dealings with a client

January 26, 2017 Tessie Sanci
Regulation

B.C. life insurance agent suspended for five years

January 23, 2017 James Langton
Regulation

MFDA fines former advisor $950,000

January 12, 2017 Tessie Sanci
Regulation

MFDA rep banned for misappropriating client money to repay personal debts

January 6, 2017 Tessie Sanci
Regulation

NSSC issues cease trade order against former mutual fund salesperson

December 23, 2016 James Langton
Regulation

FINRA fines 12 firms a total of US$14.4 million

December 21, 2016 James Langton
Regulation

IPC to pay $100,000 as part of settlement with the MFDA

December 14, 2016 Tessie Sanci
Regulation

ASC and RCMP to launch a JSOT for Alberta

December 7, 2016 James Langton
New Alberta law to give SROs greater powers
Regulation

MFDA hearing panel sanctions former advisor almost $1 million

November 29, 2016 James Langton
Regulation

FINRA sanctions brokerage firm for conflicts of interest

November 28, 2016
Regulation

ASC orders former broker to pay more than $500,000 for violating securities laws

November 25, 2016 Tessie Sanci
ASC orders former broker to pay more than $500,000 for violating securities laws