The SRO brought a record 111 proceedings against both advisors and dealers and also levied $21.1 million in fines last year
Regulators to examine the problem of employees that leave one firm amid suspected misconduct, only to turn up at another firm in the industry
Former MDC Partners CEO Miles Nadal agrees to pay US$5.5 million to settle charges
David Humphrey, former accountant and branch chief in the SEC’s corporate finance division, will be sentenced in August
Paul Wemple has been banned from working with MFDA firms
Hearing panel rules against application from Global RESP and Global Growth Assets, whose UDP was suspended in an earlier proceeding
An elderly couple in their 60s lost a significant amount of money because the advisor applied a strategy that was inconsistent with the clients’ objectives
The firm consented to the suspension and is prohibited from providing advice and selling securities to investors
IIROC, Advocis and others support enforcement measures in Ontario budget
Enforcement investigations and prosecutions on the rise