Gerald Soloway, Robert Morton and Martin Reid have also been prohibited from serving as officers or directors for a period of time
Arash Gabriel Armani refused to co-operate with a regulatory investigation into his conduct
James Alexander Moon, Michael Edward Comeau and Mitchell Torch admitted they failed to verify certain clients qualified as accredited investors
Deutsche Bank, Citigroup, J.P. Morgan and Interactive Brokers have been cited for violating market access rules
The new unit aims to consolidate the self-regulatory organization’s existing separate enforcement teams
Although a hearing panel found Michael Sutton had no intent to violate the rules, it ruled that he failed to ensure proprietary funds were priced properly
Firm fined $200,000, pays $2.5 million in client compensation over new-issue strategy employed by two advisors in Nova Scotia
French banking giant cited for “unsafe and unsound” practices in FX markets
The fraudulent activity included overstating the company’s assets and revenue and violating securities laws, among other misdeeds
The violations in question stemmed from the mutual fund dealer’s failure to implement adequate compliance systems