Enforcement

From the Regulators

Rep sanctioned in SEC fraud case

December 5, 2025 James Langton
Gavel and texts
From the Regulators

Virtu sanctioned by SEC

December 4, 2025 James Langton
Court settlement
From the Regulators

Court rejects attempt to revive lawsuit against rep, RBC DS

December 3, 2025 James Langton
A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t
From the Regulators

Broker failed to supervise front-end fund sales: FINRA

December 3, 2025 James Langton
Court settlement
From the Regulators

Crypto fraud fight targets web, apps, social media

December 3, 2025 James Langton
Crypto currency
News

Edward Jones settles client overcharging case

December 2, 2025 James Langton
Dollar bills
News

FCA sanctions standards setter for poor anti-money laundering oversight

December 2, 2025 James Langton
Regulation
News

FINTRAC sanctions currency exchange

December 2, 2025 James Langton
Laundering money
News

Court approves sale process in OSC receivership

December 1, 2025 James Langton
calendar court
From the Regulators

Manitoba regulator upholds CIRO enforcement rulings

November 28, 2025 James Langton
Banned
From the Regulators

Trade, geopolitics loom large in OSC’s agenda

November 28, 2025 James Langton
priority
From the Regulators

Supreme Court upholds investor’s right to sue

November 28, 2025 James Langton
Supreme Court of Canada in Ottawa