On October 1, 2019, a federal court judge entered final judgments against New York-based brokerage firm Lek Securities Corp. and ...
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October 03, 2019
DESJARDINS SANCTIONED IN MX SETTLEMENT
SEC ADOPTS REFORMS RELATING TO INVESTMENT ADVISERS OPERATING EXCLUSIVELY THROUGH THE INTERNET
SEC SEEKS CANDIDATES FOR INVESTOR ADVISORY COMMITTEE
SEC CHARGES FORMER ARISTA NETWORKS CHAIRMAN ANDY BECHTOLSHEIM WITH INSIDER TRADING
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CIRO COMPLIANCE PRIORITIES REPORT FOR 2024: HELPING FIRMS WITH COMPLIANCE
OSC REPORT SHEDS LIGHT ON DARK PATTERNS AND OTHER MANIPULATIVE DIGITAL ENGAGEMENT PRACTICES
FINANCIAL WATCHDOG STOPS THOUSANDS OF MISLEADING ADS AND PROMOTIONS
CIRO SANCTIONS FORMER INVESTORS GROUP FINANCIAL SERVICES REP FROM WINNIPEG, MB