Enforcement

From the Regulators

Private equity giants hit with SEC texting charges

January 14, 2025 James Langton
Phone text
From the Regulators

SEC sanctions Robinhood violations

January 14, 2025 James Langton
Gavel and texts
News

CIRO panel revokes third-party order

January 13, 2025 James Langton
Business banking
From the Regulators

Liquidnet sanctioned by SEC

January 10, 2025 James Langton
Class action
From the Regulators

CFTC sees turnover ahead of new Trump administration

January 10, 2025 James Langton
change direction
From the Regulators

Courts making little use of restitution orders

January 9, 2025 James Langton
Judge looks at papers
From the Regulators

Broker fined for unauthorized access violations

January 9, 2025 James Langton
stock market data
From the Regulators

Quant trader accused of stealing code

January 9, 2025 James Langton
Conflicted graph
From the Regulators

Edward Jones to pay US$17 million in NASAA settlement

January 9, 2025 James Langton
Gavel and texts
News

BCSC sanctions trading scheme’s promoter

January 8, 2025 James Langton
Regulation
News

RCMP brings in pilot advisory group to bolster capital market investigations

January 8, 2025 IE Staff
Magnifying glass on documents
News

It took 10 years, but insider trader gets prison

January 6, 2025 James Langton
jail bars