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Keyword: Settlement

43 results found

Self-regulatory organization must undergo review of policies and procedures

Firm and two reps allegedly violated UMIR between April 2006 and June 2007

  • By: IE Staff
  • November 28, 2010 December 14, 2017
  • 11:28

Investors were deprived of fundamental protections, panel finds

Disenhouse sold $730,000 in securities not approved by his firm

  • By: IE Staff
  • June 20, 2010 June 20, 2010
  • 15:52

Mueller and Jinnah ordered to pay US$75,000 and US$50,000, respectively

Industry stakeholders saw no benefit in proposed change to ITM rules

Sanctions from Calgary rep’s firm total nearly $140,000

  • By: IE Staff
  • March 14, 2010 March 14, 2010
  • 13:48

Charges for supervisory failures settled by CFTC

Settlement includes $4 million investment in financial education campaign

  • By: IE Staff
  • December 21, 2009 December 21, 2009
  • 17:53

Investment scheme raised $9.6 million from 943 investors

  • By: IE Staff
  • September 13, 2009 September 13, 2009
  • 11:51