Regulator settled with Rio Tinto, former CEO in 2023
Courts awards plaintiffs' costs, criticizes effort to force foreign arbitration
Former senior executive pleaded guilty to trading ahead of deteriorating results
Adjudicator rejects $213M claim against Bridging flagship fund
Investors lost $9.8M on investment that turned out to be a fraud
SRO proposes added measures to protect investors from exploitation
Bank manager processed US$92 million worth of transactions for ring
Class action brought on behalf of full-service clients with funds that paid trailers
SEC, DoJ charge six in market manipulation, insider trading schemes
Customers paid higher fees, got less interest on cash balances: FINRA