Following an expedited hearing held, with notice to Edgecrest Capital Corporation, an IIROC hearing panel suspended the membership of Edgecrest.
On August 24, 2015, an IIROC hearing panel accepted a settlement agreement between IIROC staff, and Brian Douglas Bergen and Leede Financial Markets.
IIROC wants clearer authority to collect fines across the country.
Rules for registering as a B.C. investment fund manager would change under proposed national securities rules, says law firm Gowlings.
A settlement hearing in the matter of Joseph Daniel Laurie was held today in Halifax, Nova Scotia before a three-person hearing panel of the Atlantic Regional Council of the MFDA.
The Securities and Exchange Commission has announced that two Citigroup affiliates have agreed to pay nearly US$180 million to settle charges that they defrauded investors.
ITG and its affiliate, AlterNet Securities, have agreed to pay US$20.3 million to settle SEC charges that they operated a secret trading desk and misused dark pool subscribers’ confidential trading information.
The Financial Regulatory Authority is pushing back against a U.S. government proposal meant to cut down on conflicts on interest between brokers and investors.
TD Bank has reached a US $20 million settlement with members of a class action suit who allege the bank failed to detect a Ponzi scheme.
It wasn't a robocall, but a federal judge left a message anyway for companies July 7 when he awarded nearly $230,000 to a Texas woman, finding that a cable company crossed the line when it harassed her with 153 robocalls even after she complained.