Identity theft | Investment Executive https://www.investmentexecutive.com/tag/identity-theft/ Canada's news source for financial professionals Wed, 26 Nov 2025 14:12:09 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Identity theft | Investment Executive https://www.investmentexecutive.com/tag/identity-theft/ 32 32 SEC sanctions broker for weak cyber defences https://www.investmentexecutive.com/news/sec-sanctions-broker-for-weak-cyber-defences/ Wed, 26 Nov 2025 14:12:09 +0000 https://www.investmentexecutive.com/?p=526294 Firm suffered email account takeovers amid alleged lack of policies

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]]> Class action certified in Mackenzie data breach https://www.investmentexecutive.com/news/from-the-regulators/class-action-certified-in-mackenzie-data-breach/ Wed, 05 Nov 2025 15:39:55 +0000 https://www.investmentexecutive.com/?p=524611 Case to consider whether damages are owed, while data hasn't been misused

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]]> Ex-broker charged in alleged U.S. Ponzi scheme https://www.investmentexecutive.com/news/from-the-regulators/ex-broker-charged-in-alleged-u-s-ponzi-scheme/ Wed, 10 Sep 2025 19:58:53 +0000 https://www.investmentexecutive.com/?p=519804 Investors lost US$50M in alleged Ponzi scheme: SEC

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]]> Firms, reps affected by CIRO breach https://www.investmentexecutive.com/news/from-the-regulators/firms-reps-affected-by-ciro-breach/ Tue, 09 Sep 2025 20:29:28 +0000 https://www.investmentexecutive.com/?p=519531 SRO to offer credit, identity theft protection to impacted reps

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]]> U.S. tech exec charged with fraud https://www.investmentexecutive.com/news/from-the-regulators/u-s-tech-exec-charged-with-fraud/ Fri, 18 Jul 2025 21:18:05 +0000 https://www.investmentexecutive.com/?p=515614 Founder allegedly falsified financials, audits, cap tables, to dupe investors

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]]> SEC hacker gets jail time https://www.investmentexecutive.com/news/from-the-regulators/sec-hacker-gets-jail-time/ Mon, 19 May 2025 13:29:13 +0000 https://www.investmentexecutive.com/?p=510096 Fake crypto ETF post on regulator's account caused bitcoin to spike

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]]> U.S. advisor gets jail for duping firm, clients https://www.investmentexecutive.com/news/from-the-regulators/u-s-advisor-gets-jail-for-duping-firm-clients/ Fri, 28 Mar 2025 18:16:49 +0000 https://www.investmentexecutive.com/?p=505768 Ex-Morgan Stanley advisor pleaded guilty to fraud, other charges

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]]> Crypto crime continues to grow, evolve: report https://www.investmentexecutive.com/news/from-the-regulators/crypto-crime-continues-to-grow-evolve-report/ Thu, 27 Feb 2025 14:37:45 +0000 https://www.investmentexecutive.com/?p=503364 Ransomware on the decline, fraudsters turning to AI for help

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]]> SEC hacker pleads guilty https://www.investmentexecutive.com/news/from-the-regulators/sec-hacker-pleads-guilty/ Mon, 10 Feb 2025 20:10:08 +0000 https://www.investmentexecutive.com/?p=502097 Breach was used to falsely post about bitcoin ETF approval, sending crypto prices up

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]]> SEC sanctions Robinhood violations https://www.investmentexecutive.com/news/from-the-regulators/sec-sanctions-robinhood-violations/ Tue, 14 Jan 2025 18:24:16 +0000 https://www.investmentexecutive.com/?p=500178 Firms pay US$45 million to settle trade reporting, recordkeeping violations

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