Latest settlement brings penalties in DoJ cases to over US$36 billion
SRO ordered US$48.1 million in monetary penslties in 2022
Fines, disgorgement and costs orders all rose, the latest enforcement report shows
A hearing panel ordered fine, costs and a market ban, but not disgorgement, against Alberta man
Ex-CEO sanctioned for trading after issuing misleading press releases
The bank had already agreed to a penalty in 2016 for managing almost 3,000 accounts for U.S. taxpayers
MFDA panel says respondent “caused significant damage to the integrity of the capital markets”
Enforcement was split roughly evenly between cases involving registered and unregistered defendants
Two individuals and a numbered company were implicated
The €1.25 million fine was announced on Monday