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CIRO ALLEGES FAILURE TO COOPERATE BY FORMER DESJARDINS FINANCIAL SECURITY INVESTMENTS REP FROM TORONTO, ON

CIRO has scheduled a disciplinary hearing for Neilay Modi (Modi), a former dealing representative with Desjardins Financial Security Investments Inc., from Toronto, Ontario. CIRO alleged that Modi fa...

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BCSC
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS
June 18, 2026

The B.C. Securities Commission (BCSC) is alleging that a registered investment professional made false or misleading statements t...

FINRA
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
June 18, 2026

FINRA has expelled from membership Reid & Rudiger LLC (the firm) and barred cofounders Clifford Reid and CEO Edward Rudiger, Jr. ...

Investment Executive
TRADER PLEADS GUILTY IN INVESTMENT CLUB SCHEME
June 18, 2026

A commodities trader who was under sanctions from the U.S. Commodity Futures Trading Commission (CFTC) has now also pleaded guilt...

Investment Executive
CRYPTO PROMOTER PLEADS GUILTY
June 18, 2026

One of the primary promoters of a US$1.8-billion global crypto fraud has pleaded guilty in U.S. federal court for his role in the...

CIRO
UPDATED MUTUAL FUND STAFF NOTICE MSN-0032 RELATED TO USE OF BUSINESS, STYLE OR TRADE NAMES BY MEMBERS AND APPROVED PERSONS
June 17, 2026

The Canadian Investment Regulatory Organization (CIRO) is amending Mutual Fund Staff Notice MSN-0032 MFDA 1.1.7 – Use of Business...

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