The CFTC announced that it filed a pair of enforcement actions against two affiliate marketers, David Sechovich and Peter Szatmar...
CN Editor
October 08, 2019
SEC CHARGES CASH FLOW KING PODCAST HOST WITH PERPETRATING $11 MILLION PONZI SCHEME
CFTC ORDERS CALIFORNIA RESIDENT TO PAY $300,000 FOR A FICTITIOUS SALES SCHEME
IIAC: RECOMMENDATIONS FOR OSC ENFORCEMENT MONEY
CIRO SANCTIONS RAYMOND JAMES REP FROM QUEBEC CITY
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INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS
BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS
CIRO UPDATED GUIDANCE - ANTI-MONEY LAUNDERING COMPLIANCE FOR INVESTMENT DEALERS
PMAC SUMMARY ON THE OSC"S ANNUAL COMPLIANCE AND REGISTRANT REGULATION (CRR) BRANCH SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS