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CN Editor
February 15, 2019
FINRA FINES FIRST TRUST PORTFOLIOS $10 MILLION FOR VIOLATIONS RELATING TO GIFTS AND ENTERTAINMENT
JSOT CRIMINALLY CHARGES ALEXANDER (ALEX) FRANCIS ONGOMA
CIRO ISSUES UPDATES ON PROPOSED INCORPORATED ADVISOR RULE AMENDMENTS
OSC ISSUES TEMPORARY CEASE TRADE ORDER AGAINST ADAM JOSEPH ARQUETTE AND ARQUETTE INSURANCE AND WEALTH MANAGEMENT
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP