enforcement

Decorative pattern

SRO panel laments remote hearing challenges

Panel concluded that rep was participating in proceeding anonymously

By James Langton |March 14, 2023

2 min read

Former fund rep sanctioned for loans from clients

Former fund rep sanctioned for loans from clients

Rep fined, banned after borrowing from clients, misleading dealer

By James Langton |March 11, 2023

2 min read

Decorative pattern

SEC sanctions Canadian firm in stock sale scheme

U.S. regulator alleged micro-cap CEO dumped shares on unsuspecting investors

By James Langton |March 9, 2023

2 min read

Decorative pattern

BCSC sanctions company over illegal distribution

Company sold shares to a vulnerable investor without a prospectus or exemption

By James Langton |March 9, 2023

2 min read

New SRO panel rejects proposed settlement

New SRO panel rejects proposed settlement

The case can either proceed to a contested hearing or the two sides may seek a new deal

By James Langton |March 8, 2023

2 min read

Decorative pattern

Digital bank fined by FINTRAC

WealthOne paid $676,500 penalty amid compliance lapses

By James Langton |March 6, 2023

1 min read

Decorative pattern

Nickel market outage under investigation by FCA

Regulator confirms enforcement inquiry into extended LME closure

By James Langton |March 3, 2023

2 min read

Decorative pattern

BCSC imposes sanctions on Ponzi promoters

U.S.-based scheme cost B.C. investors $1.5 million and inflicted other damage, panel said

By James Langton |March 2, 2023

2 min read

Decorative pattern

Banned rep allowed to keep inheritance

Tribunal finds that rep's interest in client's estate didn't result from a breach of securities law

By James Langton |March 1, 2023

3 min read

Decorative pattern

Ex-rep faces $2.5-million fine, ban for misappropriation

SRO panel delayed its decision pending proof of repayment that never came

By James Langton |February 28, 2023

2 min read

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