The Ontario regulator discussed proposed licensing suitability guidance during a webinar on Wednesday
The SEC sanctioned the firm for violating whistleblower protections
Regulators allege Axia Project misled investors with unregistered offering
Trio traded on inside information about pending mergers and acquisitions
Firm and executive settled charges with SEC, SDNY
Licensee was contracted with one of three MGAs reviewed for tiered recruitment model
The company's underwriters were dropped from the proposed class action
Rep recruited tenant as a client without firm's permission
Certain clients overcharged, others undercharged, due to recordkeeping glitch
The breaches related to more than 10,000 wash trades