News and resources for Canada's top financial advisors
Est. 1998
Industry
"Cryptoqueen" Ruja Ignatova, the alleged co-conspirator, remains at large
By James Langton |September 12, 2023
2 min read
Investment advisers violated revised marketing rules, regulator alleges
1 min read
Company sanctioned for employee agreements that waived rights to whistleblower awards
By James Langton |September 8, 2023
Wedbush Securities fined for compliance failings
Life
Alleged misconduct included untrustworthiness, fraud and deception
By Staff |September 7, 2023
Regulators allege the scheme took over US$300 million from investors
By James Langton |September 7, 2023
Exec is the fourth high-ranking official at the company or its affiliates to plead guilty to criminal charges
By Jake Offenhartz, The Associated Press |September 7, 2023
Regulation
Regulators' year in review also detailed crypto oversight, CFR sweep
Long-running venture took in millions from investors, police allege
By James Langton |September 5, 2023
Firm failed to reveal conflicted fee payments, regulator charged
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