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gavel on a wooden bench

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

gavel on a wooden bench

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

Obsolete gray grunge concrete room, prison cell with metal bars.

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

Gavel

Two individuals and a numbered company were implicated

  • By: Staff
  • May 24, 2019 May 24, 2019
  • 13:02
Gavel

The €1.25 million fine was announced on Monday

Lawyer

The former broker admitted to recommending unsuitable high-risk investments to multiple clients

  • By: Staff
  • April 23, 2019 April 23, 2019
  • 15:02

A British Columbia Securities Commission panel has fined and permanently banned Lynne Rae Nickford (also known as Lynne Rae Zlotnik) from B.C.’s capital markets for fraud. Nickford is a former registrant and longtime industry professional, says the decision. In August 2017 the panel found that Nickford convinced 13 investors to loan money to or invest […]

  • By: Staff
  • February 5, 2018 August 21, 2018
  • 16:07

SRO also recoups its costs of $40K

  • By: Staff
  • January 31, 2018 August 28, 2018
  • 15:25

The bank must pay an additional $35,000 in costs

  • By: Staff
  • January 29, 2018 August 30, 2018
  • 14:40

Find out why

  • By: Staff
  • January 19, 2018 August 21, 2018
  • 15:39