Almost half of the proceedings launched by the MFDA in 2019 involved allegations of pre-signed forms
Frank Lofranco will oversee the agency’s supervision and enforcement activities
A judge sentenced the “con artist” to house arrest and two years’ probation
The former rep, who was banned for his failure to cooperate with an investigation, was also fined $75,000
Advisors should think twice before destroying records pertinent to an investigation
Proposals aim to ensure the investigative process is fair, transparent and efficient
A hearing panel lacked the evidence to determine the severity of the misconduct
State and provincial regulators aim to snuff out online Covid-19 schemes
U.K. regulator warns financial firms against tied selling to troubled companies
The regulator has extended the ban indefinitely