An MFDA Hearing Panel approved a settlement agreement with Hussein Shivji ("Shivji"), a former mutual fund salesperson with World...
CN Editor
May 03, 2019
AUDITORS, LAWYERS NOT LIABLE FOR PAYDAY LENDER"S COLLAPSE
EX-BROKER CHARGED IN ALLEGED U.S. PONZI SCHEME
SEC CHARGES PENNSYLVANIA RESIDENT AND HIS COMPANIES WITH $770 MILLION PONZI SCHEME
CIRO SANCTIONS DEALING REPRESENTATIVE WITH QUADRUS INVESTMENT IN NIAGARA, ONTARIO
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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