Punch Bun Chiu Lui permanently prohibited from conducting securities related business for any MFDA firm
Jose Bautista permanently banned by MFDA
Firm admits to supervisory failings
Steven Lanys ordered to pay $91,000
Dealer failed to failed to properly process and price the sale of Opti Canada shares
Banks agree to customer redress for poor sales practices in the sale of interest rate hedging products to SMEs
The increase in total settlements is entirely due to the rise in settlements with individuals
Motion by Hampton Securities and Peter Deeb premature, court rules
British bank agrees to pay US$400 million in penalties to U.S. and UK regulators
Fines imposed on high-profile individuals have increased steadily over the past few years