CFTC charges MF Global, Jon Corzine and Edith O’Brien over brokerage collapse
Anna Hrynisak used Ontario bank accounts to disburse funds from obtained from fraud victims
The Investment Industry Regulatory Organization of Canada (IIROC) has fined an Ontario rep $30,000 for due diligence shortcomings On June 10, an IIROC hearing panel accepted a settlement agreement, with sanctions, between IIROC staff and Derek Axford. Axford admitted that from April 2010 to August 2011 while he was a registered representative with a London, […]
Myron Sullivan and two firms banned
Ex rep engaged in outside business activities at two separate firms
Faster settlements would make enforcement staff more productive and able to take more actions
Advisor made off-book transaction and failed to inform her firm of outside business activities
New unit will focus on the investigation and prosecution of criminal violations of securities laws
Ontario court dismisses an appeal from two former salesmen to overturn an OSC decision denying them registration
Dealing representative illegally sold partnership agreements to investors