Enforcement

Regulation

W.H. Stuart founders fined $8 million

May 16, 2016 James Langton
Regulation

FINRA sanctions Arkansas brokerage poor supervision of research department emails

May 11, 2016 James Langton
Regulation

MFDA fines advisor $100,000 for leverage recommendations

May 6, 2016 James Langton
Regulation

OSC bans former advisor

May 5, 2016 James Langton
Regulation

FPSC, Insurance Council of B.C. to share enforcement information

May 4, 2016 James Langton
Regulation

MFDA bans founders of W.H. Stuart permanently

April 29, 2016 James Langton
Regulation

Rep cannot seek registration for a year due to lies related to affair

April 29, 2016 James Langton
Regulation

IIROC fines Calgary advisor $100,000

April 29, 2016 Tessie Sanci
Regulation

Saleswoman gets jail time for breaching cease trade order, unregistered trading

April 29, 2016 James Langton
Regulation

MFDA hearing panel finds W.H. Stuart, co-founder violated industry rules

April 27, 2016 James Langton
Regulation

ASC sanctions saleswoman, companies for breaching securities laws

April 26, 2016 IE Staff
Regulation

MFDA to pursue reciprocal disciplinary standard for dual-licensed advisors

April 26, 2016 Tessie Sanci