On May 28, 2013, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC), accepted a Settlement Agreement, with sanctions, between IIROC staff and John Winston Lang.
On May 28, 2013, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC), accepted a Settlement Agreement, with sanctions, between IIROC staff and Robert Jay Kilgannon.
An IIROC hearing panel found Jean-François Lemay simultaneously entered buy and sell orders for the benefit of the same person.
FINRA has fined LPL Financial LLC (LPL) $7.5 million for 35 separate, significant email system failures, which prevented LPL from accessing hundreds of millions of emails and reviewing tens of millions of other emails.
On May 2, 2013, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC), accepted a Settlement Agreement between the IIROC staff and Glenn Arthur Taggart.
The SEC has charged four people with ties to a New York City brokerage firm in a scheme involving millions of dollars in illicit bribes paid to a high-ranking Venezuelan finance official to secure the bond trading business of a state-owned Venezuelan bank. According to the SEC’s complaint filed in federal court in Manhattan, the […]
FINRA also fined and suspended four executives involved.
The number of Indian financial institutions implicated by a local news website for their alleged roles in money laundering has grown from three to 23.
On March 27, 2013, an MFDA hearing panel approved a settlement agreement reached between the MFDA and Grant Bryan Page.
On April 4, 2013, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC), accepted the Settlement Agreement, with sanctions, between IIROC staff and Reginald Alfred Groome.