Fund salesman did not follow suitability obligations when selling leveraged investments to clients
Ex Wolverton and Canaccord reps no longer registered
Couple assured U.S. government would not allow Lehman Brothers to fail
Kevin Cassidy previously sentenced to 30 months imprisonment
Exchange settles with SEC over trading disruptions
Ex Scotia Capital rep falsely endorsed client signatures
Online brokerage failed to detect potential artificial bid prices
Refusal to revoke freeze order was reasonable, court rules
The fund dealer is likely to become undercapitalized, according to the MFDA
Ex CIBC employee misappropriated funds from client account