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

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

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

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