Firm agrees to pay $US4 million to resolve charges that it didn't follow ESG policies
Side business allegedly enabled billions of stock trades
Volume of disciplinary actions and total financial sanctions rose in fiscal 2022
Potential conflicts involving clients' wills weren't reported to dealer
IIROC alleged the rep misappropriated millions from elderly clients
Timing of bulk trades and poor record keeping results in disciplinary penalties
Regulator alleged U.K.-based firm violated prohibition on advice
Sanctions include market bans, costs, but no financial penalties
U.K. regulator reports record misleading ad interventions in Q3
Quebec regulator alleges man is using fake documents to dupe victims again