Illegal distribution cases remain the biggest issue for regulators
The former head of Crucible Capital has been banned from the industry
The investor compensation represents the largest amount in an Ontario Securities Commission no-contest settlement since the process was introduced
The firm was fined a penalty of $75,000 and charged costs of $15,000 resulting from the inappropriate trading of leveraged ETFs
Conrad Eagan was found to have stolen about $3.5 million from former clients. He faces criminal charges, civil lawsuits and other investigations
72 firms charged since June 2015
The SRO wants the ability to enforce its hearing panel penalty decisions through Ontario’s courts as well as statutory immunity for its staff
The firm’s director was fined $250,000 and permanently banned almost 10 years after the fraud was uncovered
QED Benchmark Management LLC and Peter Kuperman agree to reimburse investors US$2.9 million losses
Former HollisWealth advisor admitted to soliciting and accepting more than $2 million from clients and others and depositing those funds into accounts under his control