Banks agree to customer redress for poor sales practices in the sale of interest rate hedging products to SMEs
The increase in total settlements is entirely due to the rise in settlements with individuals
Motion by Hampton Securities and Peter Deeb premature, court rules
British bank agrees to pay US$400 million in penalties to U.S. and UK regulators
Fines imposed on high-profile individuals have increased steadily over the past few years
Group facing a range of market bans
Dirk Lohrisch was previously banned by IIROC
Sale of Promittere shares raises disclosure and suitabililty concerns with MFDA
$1.5 million misappropriated from six clients, IIROC says
Russell fined $150,000 for misleading statements