Enforcement

Regulation

N.Y. brokerage CEO sentenced to jail for obstructing SEC investigation

February 19, 2016 James Langton
Regulation

CI to pony up $156.1 million in compensation, plus make voluntary payment to the OSC

February 11, 2016 James Langton
Regulation

IAS reaches settlement with IIROC

February 10, 2016 James Langton
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