Jurors in Manhattan federal court returned a verdict in the Securities and Exchange Commission’s favor against a brokerage firm a...
CN Editor
May 16, 2019
B.C. MAN AND HIS COMPANY AGREE TO PAY $4 MILLION TO BCSC FOR FRAUD, MISREPRESENTATION AND ILLEGAL DISTRIBUTION
JSOT CRIMINALLY CHARGES ALEXANDER (ALEX) FRANCIS ONGOMA
SEC ISSUES EXEMPTIVE ORDER REGARDING COMPLIANCE WITH CERTAIN RULES UNDER REGULATION NMS
OSC ISSUES TEMPORARY CEASE TRADE ORDER AGAINST ADAM JOSEPH ARQUETTE AND ARQUETTE INSURANCE AND WEALTH MANAGEMENT
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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