search

CIRO SANCTIONS FORMER DEALING REP WITH SCOTIA SECURITIES IN VICTORIA, BC

A CIRO hearing panel accepted a settlement agreement with Gaurav (Gavin) Banerjee, a former Dealing Rep with Scotia Securities in Victoria BC. In the settlement agreement, Gaurav Banerjee admitted t...

Continue reading...

OSC
OSC’S INVESTOR ADVISORY PANEL RELEASES 2025 ANNUAL REPORT
May 13, 2026

The Ontario Securities Commission’s Investor Advisory Panel (IAP) released its 2025 Annual Report summarizing its activities, su...

FCA
FCA BANS OWNER AND DIRECTOR OF BLUESKY WEALTH MANAGEMENT
May 13, 2026

The FCA has banned Frank Breuer from working in UK financial services and fined him £755,000 for repeatedly acting without integr...

CIRO
CIRO FINDS FORMER REPS WITH PFSL INVESTMENTS CANADA IN MISSISSAUGA LIABLE FOR PERSONAL FINANCIAL DEALING
May 12, 2026

A CIRO hearing panel under the Mutual Fund Dealer Rules found that former reps with PFSL Investments Canada in Mississauga receiv...

OSC
OSC SETTLES FORMER EXECUTIVES OF MEDIVOLVE FOR MATERIAL MISSTATEMENTS
May 12, 2026

The Capital Markets Tribunal approved settlement agreements between the OSC, Stan Bharti and Neil Said. Both Mr. Bharti and Mr. S...

FSCO
FSCO: A CASE OF ALLEGED REGULATORY FAILURE
May 12, 2026

Investors can argue "bad faith" by FSCO in syndicated mortgage debacle: court. In general, regulators enjoy statutory immunity f...

More from the news archive ⇨