An investment advisor has been suspended for two years after IIROC staff appealed the decision to the OSC
Owner Issam El-Bouji to pay fine of $25,000 plus costs
U.S. regulator alleges Interinvest and Hans Peter Black funneled client assets into four stocks without disclosing Black’s interest in those companies
Regulators in emerging and developed markets should consider integrating credible deterrence into their enforcement strategies
Banned former director arranged for mining company to “sidestep” OTC Rule, regulator says
Alleged fraudster and his companies were engaged in intentional unregistered trading and committing fraud against clients
The B.C. trader violated Rule 105 anti-manipulation provisions on nearly a dozen occasions, SEC says
Regulator’s decisions reasonable, court rules
Quebec regulator imposed more than $8.7 million in fines and penalties
Advisor failed to represent properly or explain adequately the risks associated with leveraged investment recommendations made to 18 clients