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CIRO SANCTIONS SCOTIA SECURITIES FOR COMPLAINT HANDLING FAILURES

A CIRO hearing panel accepted a settlement agreement, with sanctions, between Enforcement Staff and Scotia Securities Inc. (Scotia Securities). Scotia Securities admitted it: - failed to implement ...

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CIRO Members
CANDOR FINANCIAL GROUP INTENDS TO RESIGN FROM CIRO MEMBERSHIP
August 17, 2026

CIRO has been informed Candor Financial Group Inc. intends to resign its membership. The resignation process has been initiated ...

CIRO
CIRO TO HOLD A SANCTIONS HEARING FOR FORMER DEALING REP WITH TD SECURITIES IN SURREY, BC
August 17, 2026

A CIRO hearing panel will determine the appropriate sanctions for a former Dealing Rep with TD Securities in Surrey, BC. The hea...

SEC
SEC SANCTIONS ADVISOR FOR PLUCKING FUND’S PROFITS
August 17, 2026

An investment advisor who allegedly misappropriated profits from an investment fund that offered investors exposure to pre-IPO sh...

SEC
SEC CHARGES BOILER ROOM OPERATOR WITH DEFRAUDING RETAIL INVESTORS IN $74 MILLION PRE-IPO INVESTMENT SCAM
August 17, 2026

The Securities and Exchange Commission charged New York resident Andrew Spaventa and three entities he owned and controlled with ...

FCA
CEO BANNED FOR FALSE AND MISLEADING STATEMENTS IN ATTEMPT TO BUY BANK AND FOOTBALL CLUB
August 17, 2026

Paul Taylor, former CEO of Blue Horizon Asset Management (BHAM) has been fined £489,000 and banned from working in financial serv...

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