Financial crime | Investment Executive https://www.investmentexecutive.com/tag/financial-crime/ Canada's news source for financial professionals Wed, 08 Apr 2026 21:07:36 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Financial crime | Investment Executive https://www.investmentexecutive.com/tag/financial-crime/ 32 32 Ex-advisor lands in jail for Ponzi scheme https://www.investmentexecutive.com/news/ex-advisor-lands-in-jail-for-ponzi-scheme/ Wed, 08 Apr 2026 21:07:36 +0000 https://www.investmentexecutive.com/?p=535837 Millions misappropriated over 20-year period

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]]> U.S. advisor pleads guilty in US$160-million fraud https://www.investmentexecutive.com/news/from-the-regulators/u-s-advisor-pleads-guilty-in-us160-million-fraud/ Tue, 07 Apr 2026 19:18:37 +0000 https://www.investmentexecutive.com/?p=535623 Investors misled in risky, conflicted private equity funds, authorities alleged

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]]> Tribunal bans absentee Ponzi schemer https://www.investmentexecutive.com/news/from-the-regulators/tribunal-bans-absentee-ponzi-schemer/ Fri, 03 Apr 2026 06:22:34 +0000 https://www.investmentexecutive.com/?p=535575 Fraudster sentenced in absentia after pleading guilty

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]]> Exec used ex-wife’s accounts for insider trading: SEC https://www.investmentexecutive.com/news/from-the-regulators/exec-used-ex-wifes-accounts-for-insider-trading-sec/ Thu, 02 Apr 2026 18:12:20 +0000 https://www.investmentexecutive.com/?p=535495 Regulator charges pair that separately pleaded guilty to criminal charges

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]]> FTX exec gets CFTC sanctions https://www.investmentexecutive.com/news/from-the-regulators/ftx-exec-gets-cftc-sanctions/ Thu, 02 Apr 2026 14:09:19 +0000 https://www.investmentexecutive.com/?p=535426 Trading, registration bans imposed on top engineer in new consent order

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]]> FBI targets crypto wash trading https://www.investmentexecutive.com/news/from-the-regulators/fbi-targets-crypto-wash-trading/ Wed, 01 Apr 2026 18:27:33 +0000 https://www.investmentexecutive.com/?p=535391 Employees from four firms indicted for manipulative crypto trading

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]]> Second broker charged in insider trading scheme https://www.investmentexecutive.com/news/from-the-regulators/second-broker-charged-in-insider-trading-scheme/ Tue, 31 Mar 2026 18:09:21 +0000 https://www.investmentexecutive.com/?p=535290 Brokers allegedly traded on info stolen from girlfriend's laptop

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]]> Man charged in hack that killed crypto platform https://www.investmentexecutive.com/news/from-the-regulators/man-charged-in-hack-that-killed-crypto-platform/ Tue, 31 Mar 2026 17:57:08 +0000 https://www.investmentexecutive.com/?p=535285 Proceeds used to buy rare Pokémon cards, coins, authorities allege

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]]> SEC wraps case against fund Ponzi schemer https://www.investmentexecutive.com/news/sec-wraps-case-against-fund-ponzi-schemer/ Tue, 31 Mar 2026 15:23:52 +0000 https://www.investmentexecutive.com/?p=535229 Regulator concludes case against man serving 14 years for fraud

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]]> Ontario’s budget on crypto, MGAs and pensions https://www.investmentexecutive.com/news/ontarios-budget-on-crypto-mgas-and-pensions/ Thu, 26 Mar 2026 21:32:36 +0000 https://www.investmentexecutive.com/?p=534934 Government highlights plans for innovation, consumer protection

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