Enforcement

News

Exec, advisor accused of pump-and-dump

September 12, 2025 James Langton
Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo
Research and Markets

Quant developer allegedly duped firm

September 12, 2025 James Langton
SEC
News

OSFI takes tougher stance on fines, AI risk

September 12, 2025 James Langton
Businessman Stop Domino Effect. Risk Management and Insurance Concept
From the Regulators

Ex-broker charged in alleged U.S. Ponzi scheme

September 10, 2025 James Langton
ponzi scheme
From the Regulators

Finfluencers face charges in U.K. court

September 10, 2025 James Langton
Finfluencers
From the Regulators

Man sentenced in crypto scam

September 9, 2025 James Langton
Stealing money
Industry News

FSRA fines former insurance agent and his corporation for coercion, undue influence

September 5, 2025 Michelle Schriver
Judge looks at papers
From the Regulators

Appeal court upholds proposed class action

September 5, 2025 James Langton
Judge makes ruling
News

CSA extends OBSI consultation deadline

September 4, 2025 James Langton
consultation discussion
News

ATM venture a Ponzi scheme: SEC alleges

September 4, 2025 James Langton
SEC
From the Regulators

Rep’s trading was lucrative, but offside

September 1, 2025 James Langton
Illustration of a businessperson using a magnifying glass to examine files
From the Regulators

ASC panel sanctions Ponzi schemer

September 1, 2025 James Langton
ponzi scheme