While the misconduct was "extremely serious," the panel said, it didn't warrant a lifetime ban
Client losses were between 52% and 59% of account value
The rep also received a lifetime ban
A proposed rule change would better align the self-regulatory organization's provisions for information with those of OBSI
The former executive allegedly embezzled millions
The firm has agreed to a $100,000 fine, along with other conditions
The conflicts involved Fitch shareholders sitting on the boards of companies being rated
The firm agreed to settle the case, paying £34.3 million
The former rep pleaded guilty to five counts of fraud over $5,000 in the Ontario Court of Justice last April
One tipster received US$37 million, while the other got US$13 million