Selling shares without dealer’s approval leads to 10-year ban
Settlement with Massachusetts regulators resolves allegations of unsuitable sales of leveraged ETFs
Alleged illegal distribution raised $1.3 million
Regulator says firms did not have supervisory systems in place to properly monitor sales
Editorial
British man sentenced to four and half years in jail for money laundering
Sternberg, Parkwood and Philco banned from registration
Fraud litigation is much more common in the U.S.
The firm, its CEO and chairman admit to breaching KYC and suitability obligations
IIROC has issued almost as much in disciplinary sanctions during the first quarter of 2012 as it did during calendar 2011 as a whole