Regulatory

Agent sanctioned for KYC, client fundraiser

Rep started a GoFundMe to help out a client breached privacy obligation

By James Langton |August 12, 2025

3 min read

Rep sanctioned for personal financial dealings

Over $3 million in capital was raised from clients to fund firm’s growth

By James Langton |August 11, 2025

2 min read

Former fund rep back in OSC’s crosshairs

Rep banned back in 1998 is now facing fraud allegations

By James Langton |August 11, 2025

2 min read

Ponzi scheme “winners” face clawback

Court ruled that payments investors received were fraudulent, must be voided

By James Langton |August 8, 2025

3 min read