Investment cases rose 3% to reach an all-time high
SRO says high risk, high volume trades, insufficient notes should have raised red flags
Court grants Wealthsimple's application for closing judgment
Maintenance mishap led to failure of market opening auctions
Startup exec lost company's cash in crypto scheme when Terra collapsed
Enforcement action targets weaknesses in AML controls, compliance
Allegations serve as reminder to investors affected by CIRO breach to review inquiries to their credit reports
Investors were falsely promised pre-IPO access, but money misappropriated
Former clients overcharged, had assets misappropriated
Cases, penalties decline following leadership change, shift in focus