Enforcement

Industry

U.S. court sanctions Canadian lawyer for role in an alleged scheme

August 2, 2016 James Langton
Regulation

Boiler room broker sentenced to two years probation

August 2, 2016 James Langton
Regulation

Scotia Capital to repay investors $20 million as part of no-contest settlement

July 29, 2016 Tessie Sanci
Markets

MFDA bans and fines former PFSL advisor

July 25, 2016 Tessie Sanci
Regulation

FINRA sanctions annuity firm for failing to prevent theft

July 19, 2016 James Langton
Research and Markets

Former Kelowna advisor fined $80,000

July 6, 2016 Tessie Sanci
Industry

Ontario woman charged with fraud and other securities violations

June 30, 2016 James Langton
Court rules in favour of labour-sponsored venture fund against fund manager
Regulation

MFDA sanctions Sterling Mutuals

June 29, 2016 James Langton
Regulation

Jail sentence given in Alberta for involvement in “pump-and-dump” scheme

June 28, 2016 James Langton
Court rules in favour of labour-sponsored venture fund against fund manager
Regulation

Former rep to be penalized for unauthorized transactions

June 22, 2016 James Langton
Regulation

MFDA fines former mutual fund salesman $150,000

June 17, 2016 Tessie Sanci
Research and Markets

HSBC units settle with BCSC for charging clients excess fees

June 13, 2016 James Langton
Greater engagement with indigenous communities needed: SHARE