2011 was a record-setting year for the SEC’s enforcement division
Vaughan Spencer fined $50,000 for refusing to co-operate with investigation
Insurance Council of B.C. says Roberta McIntosh “poses a significant risk to the public”
Largest ever Office of Foreign Assets Control settlement
Farshad Shirvani failed to disclose he had been a director of a cease-traded firm
Séguin agrees to $5,000 fine
Regulator calls violations of 2008 trading bans “sheer defiance” of the law
Regulator imposes sanctions in TBS New Media advance fee scam
Panel also dismisses allegations against former controller
OSC orders Sextant Capital to disgorge millions of dollars in fees