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MFDA SANCTIONS FORMER KEYBASE FINANCIAL GROUP REP FROM MARKHAM, ONTARIO

The MFDA sanctioned Everest D"Souza, a former dealing representative with Keybase Financial Group from Markham, Ontario. The MFDA found that between February 2014 and September 2015, he engaged in se...

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OSC
OSC ALLEGES FRAUD IN MULTIMILLION-DOLLAR CRYPTO ASSET OFFERING
October 03, 2022

The Ontario Securities Commission (OSC) filed allegations against Troy Richard James Hogg and affiliated companies in relation to...

OSC
JOHN NATIVIDAD AND HARPREET SAINI CHARGED WITH SECURITIES ACT OFFENCES
October 03, 2022

The Ontario Securities Commission (OSC) announced that John Natividad and Harpreet Saini, both of Brampton, have been charged wit...

SEC
SEC CHARGES TWO CANADIAN SOFTWARE ENGINEERS WITH INSIDER TRADING
October 03, 2022

The Securities and Exchange Commission announced insider trading charges against two Canadian software engineers who made $1.6 mi...

SEC
SEC CHARGES EIGHT IN SCHEME TO FRADULENTLY PROMOTE SECURITIES OFFERINGS
October 03, 2022

The Securities and Exchange Commission announced charges against six individuals and two companies for their involvement in a fra...

SEC
SEC CHARGES AUDIT FIRM RSM AND THREE SENIOR-LEVEL EMPLOYEES WITH FAILURE TO PROPERLY CONDUCT CLIENT AUDITS
October 03, 2022

The Securities and Exchange Commission charged audit firm RSM US LLP and three senior-level employees with improper professional ...