Ex NBF broker transferred funds without clients’ consent and forged client signatures
Former Laurentian Bank Securities rep sanctioned for executing unsuitable transactions to generated commissions and for forging a client’s signature on an application form
Paul Camillo DiNardo is serving time in prison for his role in a couple of alleged investment scams
The U.S. brokerage firm had several control and supervisory failures that led to several brief capital deficiencies in 2014
Regulatory consulting firm to pay US$15M in settlement of Standard Chartered case
Bank gave valuable internships to unqualified relatives of officials at a Middle Eastern sovereign wealth fund
US$5.2 million will be distributed to clients, SEC says
Two directors fined
Financial services regulators, SROs and legislators should work more closely together to kick out scoundrels and collect the money owed in fines
Firm failed to properly supervise mutual fund rep