An MFDA Hearing Panel approved a settlement agreement with John Lucescu (“Lucescu”), a mutual fund salesperson with PFSL Investme...
CN Editor
April 26, 2019
FCA FINES H2O DEPUTY CEO£1M AND BANS HIM FROM FINANCIAL SERVICES FOR DELIBERATELY MISLEADING FCA
BCSC ALLEGES U.S. COMPANY BREACHED CEASE TRADE ORDER
BCSC SANCTIONS KAZANA FINANCIAL FOR UNREGISTERED SECURITIES DEALING
SEC: Instead of retiring, rep ran a Ponzi scheme
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OSC AND CIRO REPORT HIGHLIGHTS SALES CULTURE CONCERNS AT CANADA"S LARGEST BANK-AFFILIATED DEALERS
INVESTOR MISSES INVESTMENT OPPORTUNITY DUE TO FIRM"S MISCOMMUNICATION
CIRO PROFICIENCY MODEL FOR APPROVED PERSONS UNDER THE INVESTMENT DEALER AND PARTIALLY CONSOLIDATED RULES - EXAM FEES
CIRO MEMBER AMALGAMATION: IG WEALTH MANAGEMENT INC.