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Enforcement
Enforcement
Regulation
FINRA sanctions Barclays for deficiencies in reporting audit trail data
August 3, 2016
James Langton
Industry
Fed sanctions Goldman Sachs for disclosing confidential information
August 3, 2016
James Langton
Industry
U.S. trader pleads guilty in to trading on non-public information
August 3, 2016
James Langton
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
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
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