Identity theft – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 27 Feb 2024 21:12:40 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Identity theft – Investment Executive https://www.investmentexecutive.com 32 32 Identity, mortgage fraud on the rise: Equifax survey https://www.investmentexecutive.com/news/research-and-markets/identity-mortgage-fraud-on-the-rise-equifax-survey/ Tue, 27 Feb 2024 21:12:40 +0000 https://www.investmentexecutive.com/?p=481161 Fraudsters take advantage of economic vulnerabilities, credit reporting agency says

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]]> FINRA revises arbitration rules https://www.investmentexecutive.com/news/from-the-regulators/finra-revises-arbitration-rules/ Wed, 07 Feb 2024 19:37:51 +0000 https://www.investmentexecutive.com/?p=480073 Changes come in the wake of independent review of SRO's arbitration program

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]]> Rep banned after misappropriating money from client https://www.investmentexecutive.com/news/from-the-regulators/rep-banned-after-misappropriating-money-from-client/ Tue, 30 Jan 2024 21:37:49 +0000 https://www.investmentexecutive.com/?p=479525 SRO panel found the rep opened banking products, including a line of credit, in the client's name

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]]> Fraud in mortgage, credit card, auto sectors rises amid interest rate hikes https://www.investmentexecutive.com/news/industry-news/fraud-in-mortgage-credit-card-auto-sectors-rises-amid-interest-rate-hikes/ Thu, 21 Sep 2023 18:16:18 +0000 https://www.investmentexecutive.com/?p=472021 If high rates persist, fraudulent activity could accelerate

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]]> Ex-broker pleads guilty in crypto fraud case https://www.investmentexecutive.com/news/from-the-regulators/ex-broker-pleads-guilty-in-crypto-fraud-case/ Wed, 20 Sep 2023 16:53:05 +0000 https://www.investmentexecutive.com/?p=471948 Clients' assets misappropriated rather than invested, U.S. authorities charged

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]]> Canada’s favourite crime: fraud https://www.investmentexecutive.com/news/research-and-markets/canadas-favourite-crime-fraud/ Mon, 24 Jul 2023 21:01:02 +0000 https://www.investmentexecutive.com/?p=469148 StatsCan finds fraud to be widespread, rarely reported to police

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]]> SEC warns firms of identity theft risks https://www.investmentexecutive.com/news/from-the-regulators/sec-warns-firms-of-identity-theft-risks/ Mon, 05 Dec 2022 21:50:09 +0000 https://www.investmentexecutive.com/?p=456991 Weaknesses in firms' practices uncovered in compliance exams

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]]> SEC charges brokers for identity theft failings https://www.investmentexecutive.com/news/from-the-regulators/sec-charges-brokers-for-identity-theft-failings/ Thu, 28 Jul 2022 13:25:50 +0000 https://www.investmentexecutive.com/?p=448667 Firms didn't have adequate programs for spotting red flags

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]]> Options fraud on the rise, FINRA warns https://www.investmentexecutive.com/news/from-the-regulators/options-fraud-on-the-rise-finra-warns/ Thu, 17 Sep 2020 21:18:28 +0000 https://www.investmentexecutive.com/?p=407361 SRO says account intruders, identity thieves turning to options market

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]]> Synthetic identity theft is the fastest-growing financial crime, U.S. Fed warns https://www.investmentexecutive.com/news/from-the-regulators/synthetic-identity-theft-is-the-fastest-growing-financial-crime-u-s-fed-warns/ Wed, 10 Jul 2019 19:42:28 +0000 https://www.investmentexecutive.com/?p=384395 Crime involves using real and fake information to craft an identity

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