The CFTC issued an order filing and simultaneously settling charges against Nathan Harris, a CFTC registrant, of Akron, Iowa, for...
CN Editor
September 10, 2019
BCSC FORFEITURE EFFORT CAN GO AHEAD, DESPITE DELAY
CFTC CHARGES TWO MEN, THEIR UNREGISTERED COMMODITY POOL WITH FUTURES FRAUD, REGISTRATION VIOLATIONS
MICHAEL AONSO OF STRIKE HOLDINGS INC. SENTENCED TO 90 DAYS IN JAIL FOR SECURITIES ACT OFFENCES
CIRO ALLEGES CONFLICTS OF INTEREST FAILURES BY FORMER DESJARDINS FINANCIAL SECURITY INVESTMENTS REP
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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