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CIRO SANCTIONS WFG SECURITIES REP FROM SURREY, BC

CIRO sanctioned Sanjeev Kumar Tejpal (Tejpal), a Registered Representative with WFG Securities Inc. from Surrey, British Columbia. CIRO found that Tejpal failed to ensure that mutual fund purchases s...

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CIRO
INVESTOR ALERT: FRAUDSTERS IMPERSONATING CIRO-REGISTERED FIRMS ON SOCIAL MEDIA
June 05, 2026

The Canadian Investment Regulatory Organization (CIRO) is warning investors about fraudsters impersonating CIRO-registered firms ...

BCSC
B.C.- BASED MINING COMPANY SANCTIONED FOR FILING MISLEADING TECHNICAL REPORT
June 05, 2026

A B.C.-based public mining company must pay $15,000 to the BC Securities Commission (BCSC) for making false or misleading stateme...

Investment Executive
THE FINANCIAL SECTOR"S SYSTEMS FAILURES
June 05, 2026

European financial firms faced thousands of technology-related security incidents last year, most of them driven by systems failu...

Investment Executive
CFTC ALLOWS ENFORCEMENT DENIALS TOO
June 05, 2026

The U.S. Commodity Futures Trading Commission (CFTC) is joining the U.S. Securities and Exchange Commission (SEC) in dropping the...

Investment Executive
U.S. SUPREME COURT UPHOLDS BROAD READING OF SEC AUTHORITY TO RECOUP ILL-GOTTEN GAINS IN FRAUD CASES
June 05, 2026

The Supreme Court on Thursday upheld a broad reading of the authority of the Securities and Exchange Commission to recoup ill-got...

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