The firm claims to be licensed by a regulator that doesn't exist
Account takeover attempts are on the rise, FINRA warns
Improper personal financial dealings and a failure to cooperate led to the sanctions
Fund manager sought to influence bidding in Neiman Marcus bankruptcy
The regulator has asked for extension to Aug. 12 while its investigation continues
The OSC advisory group is facing a long list of investor issues
The OSC took action amid an ongoing investigation into potential conflicts and misconduct
An individual was banned from working in the securities industry for 10 years after admitting that investor money went for personal use
Alex Oh was named director of enforcement last week
The regulator issued an alert about a banned man hosting online investment conferences