Regulator also charged the brokerage’s founder with falsifying information
Regulator issues orders banning securities law violators
Regulator will take no further enforcement action against the bank
Hearing panel also levies fine against director for improper exemption distributions
Former trader hid trading losses during the financial crisis
Penalty levied against BoA for actions of a firm it acquired during the financial crisis
Former rep currently facing allegations of securities fraud from the BCSC
Regulator to continue investigation of former mutual fund rep suspected of unregistered trading
CFTC alleges securities firm filed inaccurate trading reports
Regulator imposes two-year ban and $30,000 penalty