JPMorgan will pay US$920 million to settle with U.S., UK regulators
Appeal court denies motions
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