In most of the investment misconduct cases, the companies involved were based outside the province
Bank consents to orders designed to remedy deficiencies
Settlements for several categories of allegations reached new highs during 2012
Investors lured to invest hundreds of thousands of dollars in Ponzi scheme
Firm failed to correct deficiencies found during compliance exam
Smilestone prohibited from conducting securities related business for two years
U.S. regulator sees increase in disciplinary cases
FINRA orders Pruco Securities to pay US$10.7 million
Court finds New Life appeal ‘frivolous and vexatious’
Peter Beck and Charles Kim to pay US$500,000 civil fine