The ASC has concluded a Settlement Agreement and Undertaking with Farhang (Fred) Dagostar Nikoo for breaches of Alberta securitie...
CN Editor
February 19, 2019
COURT DENIES STAY OF CIRO SANCTIONS
CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
CALGARY RESIDENT SETTLES WITH ASC FOR ILLEGAL TIPPING
CFTC WRAPS CASE AGAINST CRYPTO CEO
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MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS