Appeal court denies motions
22 investment firms paying total US$14.4 million to settle SEC charges of improper short selling
Wealth management division fined £1.8 million for suitability failings
BCSC agrees with MFDA decision regarding former mutual fund rep Marlene Legare
BCSC panel found a mining company and two residents illegal sold securities to seven investors
Juliet Winget must pay $575,000 in monetary sanctions
Former U.S. trader hid the true size and risk of an e-mini futures position
Advisor purchased unsuitable securities for clients and engaged in unauthorized trading
SEC alleges the IA misled others in order to manage an investment fund
Advisor failed to use proper due diligence in recommending products to clients