Forex trader lost half of investors’ funds and spent or pocketed the rest
Firms agree to US$900,000 in penalties and disgorgement
Cho ordered to pay $200,000 penalty
Money Plus respondents sought to examine hundreds of account holders as part of their defence
U.S. regulator releases enforcement division’s annual results
Former FundEX salesman recommended exempt market products to clients without the knowledge or approval of his firm
SEC brought charges today against Harding Advisory LLC and owner, Wing Chau
Hearing involving Black and John Boultbee to take place Oct. 23
Court rules IIROC right to seek costs award from former advisor
Mutual fund dealer failed to improve supervisory arrangements