search

CIRO SANCTIONS FORMER BMO INVESTMENTS INC. FROM EDMONTON, AB

CIRO sanctioned Tiffany Lee Felker (Felker), a former Registered Dealing Representative with BMO Investments Inc. from Edmonton, Alberta. CIRO found that Felker processed transactions and updated Kno...

Continue reading...

Investment Executive
FCA FLAGS FINANCIAL CRIME RISKS
August 10, 2026

Amid concerns about a lack of financial crime controls at certain firms — including unregulated lenders, money brokers and custod...

Investment Executive
EX-GOLDMAN BANKER CONVICTED IN BRIBERY CASE
August 10, 2026

A former investment banker with Goldman Sachs has been convicted on bribery and money laundering charges. The case involves a sch...

Investment Executive
SEC BANS RETIRING REP PONZI SCHEMER
August 07, 2026

A former advisor who was convicted in a Ponzi scheme that centered around the acquisition of retiring brokers’ books has now also...

Investment Executive
CRYPTO WASH TRADER AVOIDS JAIL
August 07, 2026

A Canadian man who pleaded guilty to criminal charges in the U.S. for his role in running a crypto firm that provided wash tradin...

CIRO
CIRO SANCTIONS FORMER BMO INVESTMENTS INC. REP FROM TORONTO, ON
August 06, 2026

CIRO sanctioned Tanziba Tahsin (Tahsin), a former Dealing Representative with BMO Investments Inc. from Toronto, Ontario. CIRO fo...

More from the news archive ⇨