Enforcement

Regulation

MFDA bans advisor and fines him $5 million

February 3, 2016 James Langton
Regulation

SEC completes muni-underwriter enforcement sweep

February 2, 2016 James Langton
Regulation

IIROC seeks greater enforcement powers in Ontario

February 1, 2016 James Langton
Regulation

MFDA fines firm $4 million for selling fraudulent product

January 29, 2016 James Langton
Regulation

Toronto hedge fund manager settles with SEC

January 29, 2016 James Langton
Regulation

MFDA bans and fines advisor $500,000

January 12, 2016 Tessie Sanci
Regulation

MFDA bans former advisor for 10 years

December 22, 2015 James Langton
Regulation

Ex advisor banned for misappropriating funds from clients

December 22, 2015 James Langton
Regulation

MFDA releases reasons for penalties against advisor

December 22, 2015 Tessie Sanci
Regulation

Manitoba court sentences man to one year in jail for trading without registration

December 21, 2015 James Langton
Regulation

J.P. Morgan to pay US$267 million for disclosure failures: SEC

December 18, 2015 James Langton
Regulation

FINRA fines Fidelity Brokerage Services US$1 million for supervisory failures

December 18, 2015 James Langton