An MFDA Hearing Panel approved a settlement agreement with Hussein Shivji ("Shivji"), a former mutual fund salesperson with World...
CN Editor
May 03, 2019
DECISION THAT PUT CERTAIN INVESTORS AT HEAD OF LINE IN BRIDGING RECEIVERSHIP FACES APPEAL
FINRA TO FIRM: GET OUT!
BCSC IMPOSES TEMPORARY ORDER ON FOR THE PEOPLE FX INC. AND THREE INDIVIDUALS
SHANE COURTNEY WARD PERMANENTLY BANNED FROM ALBERTA’S CAPITAL MARKET
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NEW SRO ALLEGES FORMER SCOTIA CAPITAL INC. REP CONDUCTED OFF-BOOK INVESTMENTS WITHOUT AUTHORIZATION
NEW SRO ALLEGES FORMER CIBC SECURITIES INC. REP MISAPPROPRIATED FUNDS AND ENGAGED IN PERSONAL FINANCIAL DEALINGS WITH A CLIENT
OSC PUBLISHES ITS 2023-2024 STATEMENT OF PRIORITIES
NEW SRO SANCTIONS FORMER SCOTIA CAPITAL INC. REP FROM HALIFAX, NS