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CIRO ALLEGES MISAPPROPRIATION BY FORMER QUADRUS INVESTMENT SERVICES REP FROM TORONTO, ON

CIRO has scheduled a disciplinary hearing for Michael Jordan MacDonnell (MacDonnell), a former Registered Dealing Representative with Quadrus Investment Services Inc. from Toronto, Ontario. CIRO all...

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ASC
FORMER INVESTMENT BANK EMPLOYEE AND HIS MOTHER PAY $330,000 IN INSIDER TRADING SETTLEMENT
November 06, 2026

The Alberta Securities Commission (ASC) has concluded a Settlement Agreement and Undertaking with Calgary residents Dean Labbe an...

FINRA
FINRA FINES WEBULL $4.2 MILLION FOR ANTI-MONEY LAUNDERING AND BEST EXECUTION VIOLATIONS
November 06, 2026

FINRA has fined Webull Financial LLC $4.2 million for failing to implement reasonably designed programs for anti-money laundering...

Investment Executive
FINRA SEEKS CIRCUIT BREAKER CHANGE
November 06, 2026

As regulators prepare for trading venues to adopt extended hours, the Financial Industry Regulatory Authority, Inc. (FINRA) is pr...

Investment Executive
COURT ALLOWS NEW ISSUES IN CLOSET INDEXING CLASS ACTION
November 06, 2026

Plaintiffs in an ongoing class action against RBC Global Asset Management Inc. (RBC GAM) — alleging that the firm engaged in “clo...

Investment Executive
ONTARIO COURT CERTIFIES CLASS-ACTION SUIT AGAINST TD BANK REGARDING MONEY LAUNDERING
November 06, 2026

An Ontario court has certified a class-action lawsuit against TD Bank and certain members of its senior leadership team including...

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