The CFTC issued two orders today filing and settling charges against John Lawrence and his employer, Heraeus Metals New York LLC,...
CN Editor
September 17, 2019
STATES AND CFTC SECURE FINAL JUDGMENT AGAINST PRECIOUS METALS FIRM THAT DEFRAUDED ELDERLY ADULTS
COMPLAINT CONFIDENTIALITY IN THE PUBLIC INTEREST
CIRO SANCTIONS FORMER SUN LIFE FINANCIAL INVESTMENT SERVICES (CANADA) REP FROM VANCOUVER, BC
CIRO ALLEGES FORMER QUADRUS INVESTMENT SERVICES REP FROM CONCORD, ON, ENGAGED IN UNAPPROVED OUTSIDE ACTIVITIES
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CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS