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Justitia, the goddess of justice

The settlement involves a $300,000 payout and multi-year bans

  • By: Staff
  • May 21, 2019 May 21, 2019
  • 17:23
courtroom gavel

The scheme raised US$30 million from more than 300 investors in the U.S. and Canada

  • By: Staff
  • May 21, 2019 May 21, 2019
  • 10:58
courtroom gavel

The hearing involved two clients over age 90 sold DSC funds with seven-year redemption schedules

  • By: Staff
  • May 17, 2019 May 17, 2019
  • 13:17
Gavel

Suitability issues remain the top complaint

courtroom gavel

Alex Tapscott also settled with the SEC, paying a $25,000 civil penalty

  • By: Staff
  • May 13, 2019 May 14, 2019
  • 15:34
Connections system sphere global world view on city background 3D rendering

The firm is alleged to have misled investors with a slide presentation

  • By: Staff
  • May 9, 2019 May 9, 2019
  • 11:08
Files being analyzed

SRO says new system will detect trading anomalies more quickly

  • By: Staff
  • May 9, 2019 June 27, 2019
  • 09:00

Vanisha Sukdeo, a lawyer and academic, is director of policy research

  • By: Staff
  • May 3, 2019 May 3, 2019
  • 16:50
Lawyer

OSC agrees with ASC’s decision to pull the firm’s registration

  • By: Staff
  • May 3, 2019 May 3, 2019
  • 15:45
stack of documents or files, overload of paperwork on black background

SEDAR, the National Registration Database and others would be replaced by a single system