In a settlement with the OSC, he agreed to pay $1.7 million for operating a successful investment club without registration
The commission ordered sanctions against a former MFDA representative who misappropriated client money
Compliance review uncovered rep's secret sideline
SEC, DoJ allege investor misrepresentation, misappropriation
Proposed rules aim to address unpaid compensation to harmed investors
Appeal court found that regulator erred in two cases, but not in a third
The client lost $1.3 million to risky trading that generated $232,000 in commissions
The bank was fined $400,000 after it overcharged seniors $31 million
The court appointed the firm based on an independent recommendation
The firm's systems weren't ready when oil went negative, leaving clients unable to trade