22 investment firms paying total US$14.4 million to settle SEC charges of improper short selling
Wealth management division fined £1.8 million for suitability failings
BCSC agrees with MFDA decision regarding former mutual fund rep Marlene Legare
BCSC panel found a mining company and two residents illegal sold securities to seven investors
Juliet Winget must pay $575,000 in monetary sanctions
Former U.S. trader hid the true size and risk of an e-mini futures position
Advisor purchased unsuitable securities for clients and engaged in unauthorized trading
SEC alleges the IA misled others in order to manage an investment fund
Advisor failed to use proper due diligence in recommending products to clients
The Investment Industry Regulatory Organization of Canada (IIROC) has terminated the membership of British Columbia-based First Financial Securities Inc. On July 30, an IIROC hearing panel accepted a settlement agreement, with sanctions. The firm admitted that it failed to meet IIROC’s minimum capitalization requirement. First Financial sold its book of business to another dealer firm […]