fines

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Should the rich face harsher fines?

One Finnish businessman was recently fined €54,000. Why? Because he was driving 15 miles per hour over the speed limit. Indeed, in Finland fines for speeding, shoplifting and violating securities law are determined based on a taxpayer’s income, reports The Atlantic. For instance, in the above case, the police officer would’ve checked a database to […]

March 13, 2015

1 min read

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CRTC issues $1.1-million spam fine

Canada’s communications regulator has issued its first-ever spam fine to Compu-Finder.

By Staff |March 11, 2015

1 min read

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MFDA rep fined over pre-signed trade forms

A settlement hearing in the matter of Jarnail S. Kahlon was held this week in Toronto.

By Staff |February 25, 2015

1 min read

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Former MFDA rep banned, fined $250,000

A hearing panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada has issued a Reasons for Decision document.

By Staff |November 4, 2014

1 min read

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Wall Streeter evading $62M fine for 25 years

Paul Bilzerian has been avoiding a US$62 million SEC penalty since 1989. He says he's been wrongly penalized.

By Staff |September 26, 2014

1 min read

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SEC issues highest-ever fine for violating net capital rule

The Securities and Exchange Commission is handing out its largest penalty ever for net capital rule violations to high frequency trading firm Latour Trading.

By Staff |September 17, 2014

2 min read

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IIROC naming people who don’t pay fines

Advisors who haven’t paid their IIROC fines or disciplinary costs will be publicly named by IIROC in a new quarterly report.

By Staff |June 13, 2014

1 min read

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Former SAC Capital trader fined $2 million

Michael Steinberg, a former top trader at SAC Capital, has been sentenced to three and a half years in prison and a $2 million fine by a federal court, the New York Times reports.

By Staff |May 16, 2014

1 min read

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IIROC fines Toll Cross Securities

On April 15, 2014, a hearing panel of IIROC accepted a settlement agreement between IIROC staff and Toll Cross Securities Inc. ("TCSI").

By Staff |May 7, 2014

1 min read

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Judge orders former Goldman VP to pay $825K

Fabrice Tourre, a former Goldman Sachs Group trader, has been ordered to pay $825,000 by a U.S. judge, reports Reuters.

By Staff |March 12, 2014

1 min read

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