Almost 400,000 transactions were completed in 2011 at inferior prices through Goldman Sach’s dark pool
French firm is the first global bank to plead guilty to systematic violations of U.S. economic sanctions
Rare Investments solicited over $1.2 million from investors
Firm failed to adequately supervise rep
IIROC panel imposes two-year ban of former Macquarie rep
Firm ordered to pay restitution to clients for fund overcharges
The regulator wants to determine whether the former newspaper baron should be banned from trading or becoming a director
Firms fined $7 million for UK financial promotions failures
Individuals will be placed on the list if they fail to pay the amount owing within 60 days
OSC asked to review decisions related to Lucy Marie Pariak-Lukic