Earlier this year, the regulator settled with other clients of the same marketing firm for similar allegations
The firm agreed to pay US$35 million to settle privacy violation allegations
Disregarding signs of suspicious trading amounts to failed gatekeeper responsibilities, settlement says
NSSC settles with Halifax firm that failed to oversee its day traders in China
Regulator will enable investor to make claim for $900,000 to be paid in settlement
Former Coinbase employee admits to wire fraud conspiracy
Conflicts involving SPACs needed more transparency, regulator alleged
SRO sought to investigate after compliance review discovered pre-signed forms
KPMG appointed to oversee failed credit union's windup
Court cites mental, physical and emotional toll on victims