FINRA has fined the firm and ordered restitution, for early rollover recommendations
The legal team gets $20 million, and a former advisor turned plaintiff was awarded $50,000
U.S. authorities allege that the friends shared and traded on inside information
Ex-dentist engaged in escalating series of frauds, SEC alleges
A forensics team is seeking to recover thousands of emails that were allegedly sought out and "hard" deleted last year
Rep fined $75,000, suspended for six months in settlement with regulators
A company sought to sue the regulator, alleging an investigation was conducted in bad faith
Cyberattacks in 2018 exposed the data of thousands of bank clients
The Superior Court of Justice ordered Aphria to pay $1.5M
A former TD Bank compliance officer's unusual legal action has been rejected again