Peter Cummings gets record UK fine
Identifying and protecting client money should be at the top of every firm’s agenda, says UK regulator
Commission to consider proposed settlements with Portus co-founder Boaz Manor and two others
Myatovic and Lowe to face penalty hearing
CEO and CFO of WJB Capital Group sanctioned
RBC DS fined $500,000; Two Montreal brokers each fined $100,000
Dealer allowed unsuitable options trades for two clients
Investigation involved restated interim financial statements of Genesis Land Development Corp.
B.C. broker claimed he had met two clients when he had not, and accepted trading instructions for clients from a third party
Former Montreal broker misrepresented her credentials