Deal includes $2.4 million and cooperation with ongoing litigation
The regulator found the firm's compensation structure favoured in-house funds
Three new members have joined the securities proceedings committee
Appeal court rules that regulator was right to allow orders issued in investigation
The regulator alleges that the founders diverted money raised for the fund to other purposes
NASAA reports that regulators have uncovered 262 Covid-19 schemes
The SEC has issued an investor alert
A New Brunswick court has overturned a tribunal's finding that an IIROC proceeding was unfair
The BCSC had ordered a fraudster to disgorge $21.7 million
The permanent ban follows a jail term and restitution order