The CFTC filed a civil lawsuit in the U.S. District Court for the Southern District of New York against Canadian resident Simon J...
CN Editor
September 12, 2019
SEC CHARGES TRADING CHATROOM MODERATOR
CFTC ORDERS A CALIFORNIA COMMODITY TRADING ADVISOR TO PAY MORE THAN $4 MILLION FOR FRAUD AND REGISTRATION VIOLATIONS
CFTC CHARGES FIVE DEFENDANTS WITH FRAUDULENT DIGITAL ASSETS TRADING SCHEME
NEW SRO INVESTOR ALERT: ADVISOR IMPERSONATION SCHEMES
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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