Fraud | Investment Executive https://www.investmentexecutive.com/tag/fraud/ Canada's news source for financial professionals Fri, 19 Dec 2025 20:39:38 +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 Fraud | Investment Executive https://www.investmentexecutive.com/tag/fraud/ 32 32 SEC sanctions Canadian over pump-and-dumps https://www.investmentexecutive.com/uncategorized/sec-sanctions-canadian-over-pump-and-dumps/ Fri, 19 Dec 2025 20:39:38 +0000 https://www.investmentexecutive.com/?p=528204 Accountant allegedly found assets used to lure investors to schemes

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]]> Executive banned in failed real estate scheme https://www.investmentexecutive.com/uncategorized/executive-banned-in-failed-real-estate-scheme/ Fri, 19 Dec 2025 19:56:40 +0000 https://www.investmentexecutive.com/?p=528215 OSC forgoes monetary sanctions, amid bankruptcy, ongoing litigation

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]]> SEC sanctions key figures in FTX scandal https://www.investmentexecutive.com/uncategorized/sec-sanctions-key-figures-in-ftx-scandal/ Fri, 19 Dec 2025 18:42:46 +0000 https://www.investmentexecutive.com/?p=528207 Execs that previously pleaded guilty in fraud case accept regulatory sanctions

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]]> Corporate director convicted of insider trading https://www.investmentexecutive.com/uncategorized/corporate-director-convicted-of-insider-trading/ Fri, 19 Dec 2025 11:00:15 +0000 https://www.investmentexecutive.com/?p=528112 Director tipped others and traded ahead of pending acquisition

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]]> SEC alleges bitcoin miner duped investors https://www.investmentexecutive.com/news/sec-alleges-bitcoin-miner-duped-investors/ Thu, 18 Dec 2025 14:22:39 +0000 https://www.investmentexecutive.com/?p=528019 Scheme promised investors passive income from crypto mining: regulator

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]]> Private equity exec charged with fraud https://www.investmentexecutive.com/news/private-equity-exec-charged-with-fraud/ Tue, 16 Dec 2025 19:05:10 +0000 https://www.investmentexecutive.com/?p=527869 Investors falsely offered exposure to pre-IPO companies, U.S. authorities allege

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]]> Fintech execs allegedly duped private equity firm https://www.investmentexecutive.com/news/from-the-regulators/fintech-execs-allegedly-duped-private-equity-firm/ Mon, 15 Dec 2025 14:27:44 +0000 https://www.investmentexecutive.com/?p=527683 U.S. authorities allege that execs raised US$20 million in venture funding

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]]> FCA fines lender £44m for anti-crime control failings https://www.investmentexecutive.com/news/from-the-regulators/fca-fines-lender-44m-for-anti-crime-control-failings/ Fri, 12 Dec 2025 19:19:22 +0000 https://www.investmentexecutive.com/?p=527673 Firm self-reported weaknesses in controls, beefed up compliance

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]]> Crypto mogul Do Kwon sentenced to 15 years in prison for US$40B stablecoin fraud https://www.investmentexecutive.com/news/from-the-regulators/crypto-mogul-do-kwon-sentenced-to-15-years-in-prison-for-us40b-stablecoin-fraud/ Thu, 11 Dec 2025 20:54:29 +0000 https://www.investmentexecutive.com/?p=527603 Kwon pleaded guilty in August to fraud charges

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]]> CSA, CIRO launch scam website takedown https://www.investmentexecutive.com/news/from-the-regulators/csa-ciro-launch-scam-website-takedown/ Thu, 11 Dec 2025 19:23:58 +0000 https://www.investmentexecutive.com/?p=527553 Regulators attack scourge of online scams at the source

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