An MFDA Hearing Panel approved a settlement agreement with Hussein Shivji ("Shivji"), a former mutual fund salesperson with World...
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May 03, 2019
HEDGE FUND PERFORMANCE OVERSTATED: DOJ ALLEGES
CFTC SECURES COURT ORDERS DIRECTING TEXAS AND FLORIDA RESIDENTS TO PAY OVER $500,000 IN DISGORGEMENT AND CIVIL MONETARY PENALTIES AND IMPOSING TRADING BANS FOR COMMODITY POOL FRAUD
COURT CERTIFIES CRYPTO CLASS ACTION
SEC CHARGES PRIVATE FUND ADVISER ADIT VENTURES MANAGEMENT, ITS CEO AND AFFILIATED GENERAL PARTNERS IN ALLEGED FRAUD
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RCMP LAYS CHARGES IN ALLEGED $164M PONZI SCHEME
FATF/APG MUTUAL EVALUATION REPORT OF CANADA 2026
ADVISOR SANCTIONED FOR TAKING CLIENT INFO
CLIENT FOCUSED REFORMS (CFR) - TARGETED COMPLIANCE GUIDANCE: PRACTICAL STEPS TO HELP DEALER MEMBERS ("DEALERS") AND APPROVED PERSONS ("APS") MEET THEIR REGULATORY OBLIGATIONS AND PROTECT INVESTORS