The CFTC announced today that it issued orders filing and settling charges against two interdealer brokers: BGC Financial, LP and...
CN Editor
October 03, 2019
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
INVESTOR ALERT: FRAUDSTERS IMPERSONATING LIQUIDNET CANADA EMPLOYEES
JSOT CRIMINALLY CHARGES ALEXANDER (ALEX) FRANCIS ONGOMA
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APPLICATION OF UMIR TO THE TRADING ACTIVITY OF AN ACCESS PERSON
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON
GUIDANCE ON DOUBLE PRINTING
ADVISOR CHARGEBACKS ARE BAD FOR THE INDUSTRY