fines

Industry

UBS settles case over mortgage-backed securities in lead-up to financial crisis

Latest settlement brings penalties in DoJ cases to over US$36 billion

By James Langton |August 14, 2023

2 min read

Industry

How FINRA spent its enforcement fines

SRO ordered US$48.1 million in monetary penslties in 2022

By James Langton |May 31, 2023

1 min read

Industry

Reps faced heavier IIROC sanctions in fiscal 2022

Fines, disgorgement and costs orders all rose, the latest enforcement report shows

By James Langton |July 7, 2022

1 min read

Industry

ASC sanctions violation of cease trade order

A hearing panel ordered fine, costs and a market ban, but not disgorgement, against Alberta man

By James Langton |May 14, 2021

2 min read

Industry

Misleading news releases about pot sector draw regulator’s ire

Ex-CEO sanctioned for trading after issuing misleading press releases

By James Langton |January 22, 2021

2 min read

Industry

Swiss bank fined for secret U.S. accounts

The bank had already agreed to a penalty in 2016 for managing almost 3,000 accounts for U.S. taxpayers

By James Langton |January 2, 2020

1 min read

Industry

Former rep banned, fined $1.6M for ‘egregious’ misconduct

MFDA panel says respondent “caused significant damage to the integrity of the capital markets”

By James Langton |October 21, 2019

2 min read

Industry

U.S. state regulators issued more than $1B in sanctions last year

Enforcement was split roughly evenly between cases involving registered and unregistered defendants

By James Langton |September 10, 2019

2 min read

Industry

Quebec court upholds $285,000 in fines for illegal brokerage activity

Two individuals and a numbered company were implicated

By Staff |May 24, 2019

1 min read

Industry

Ireland’s central bank fines BMO for breaching licence

The €1.25 million fine was announced on Monday

By The Canadian Press |April 29, 2019

1 min read

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