Financial crime | Investment Executive https://www.investmentexecutive.com/tag/financial-crime/ Canada's news source for financial professionals Fri, 06 Feb 2026 19:51:21 +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 Lawyer sanctioned in fake GIC scheme https://www.investmentexecutive.com/news/lawyer-sanctioned-in-fake-gic-scheme/ Fri, 06 Feb 2026 19:47:43 +0000 https://www.investmentexecutive.com/?p=531250 Trust account used in fraud, misappropriation, Law Society finds

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]]> Pair ran massive market manipulation scheme: SEC https://www.investmentexecutive.com/news/pair-ran-massive-market-manipulation-scheme-sec/ Thu, 05 Feb 2026 20:24:40 +0000 https://www.investmentexecutive.com/?p=531185 Firm allegedly touted stocks on social media, while selling its holdings

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]]> FINTRAC fines firms for compliance failings https://www.investmentexecutive.com/news/fintrac-fines-firms-for-compliance-failings/ Thu, 05 Feb 2026 20:07:28 +0000 https://www.investmentexecutive.com/?p=531191 Agency sanctions breaches of anti-money laundering rules

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]]> Ex-CEO pleads guilty in SPAC fraud case https://www.investmentexecutive.com/news/ex-ceo-pleads-guilty-in-spac-fraud-case/ Wed, 04 Feb 2026 17:21:54 +0000 https://www.investmentexecutive.com/?p=531046 Exec misled investors by inflating target's revenues to enable SPAC deal

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]]> Fortress pair get five years, fined $24.4 million https://www.investmentexecutive.com/news/fortress-pair-get-five-years-fined-24-4-million/ Tue, 03 Feb 2026 14:21:55 +0000 https://www.investmentexecutive.com/?p=530892 Scheme targeted "mom and pop" investors, court said

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]]> Boiler room brokers plead guilty https://www.investmentexecutive.com/news/from-the-regulators/boiler-room-brokers-plead-guilty/ Tue, 03 Feb 2026 13:00:03 +0000 https://www.investmentexecutive.com/?p=530846 Long-running scheme misled investors on stock markups, fees

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]]> U.S. advisor gets jail for defrauding clients https://www.investmentexecutive.com/news/from-the-regulators/u-s-advisor-gets-jail-for-defrauding-clients/ Mon, 02 Feb 2026 13:00:27 +0000 https://www.investmentexecutive.com/?p=530749 Court orders prison, restitution for misappropriating investors' money

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]]> First Brands’ execs charged with fraud https://www.investmentexecutive.com/news/from-the-regulators/first-brands-execs-charged-with-fraud/ Fri, 30 Jan 2026 06:48:06 +0000 https://www.investmentexecutive.com/?p=530636 Firm that sparked concern about private credit was a fraud, U.S. alleges

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]]> Crypto fraudster faces jail, restitution https://www.investmentexecutive.com/news/crypto-fraudster-faces-jail-restitution/ Wed, 28 Jan 2026 19:28:48 +0000 https://www.investmentexecutive.com/?p=530495 Man sentenced for role in laundering profits of crypto scams

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]]> Former rep convicted on fraud charges https://www.investmentexecutive.com/news/former-rep-convicted-on-fraud-charges/ Tue, 27 Jan 2026 21:00:50 +0000 https://www.investmentexecutive.com/?p=530366 Previously banned advisor found guilty of six out of 10 counts

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