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CIRO TO HOLD A SETTLEMENT HEARING FOR INDEPENDENT TRADING GROUP INC.

CIRO alleges that Independent Trading Group Inc. failed to act as a gatekeeper in relation to the trading activity in U.S. OTC securities by two foreign broker dealer clients. The settlement hearing ...

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OSC
THE OSC ANNOUNCES FRAUD ALLEGATIONS AGAINST SPONSORSONE BRANDS INC. AND GARY AND MYLES BARTHOLOMEW
April 02, 2026

On March 27, 2026, the Ontario Securities Commission (OSC) announced fraud allegations against SponsorsOne Brands Inc. (SPO), Gar...

CFTC
CFTC RESOLVES ACTION AGAINST FORMER FTX HEAD OF ENGINEERING
April 02, 2026

The Commodity Futures Trading Commission announced the U.S. District Court for the Southern District of New York entered a supple...

Investment Executive
FIRM LOGGED INTO ACCOUNTS TO APPROVE FEES: SEC
April 02, 2026

U.S. investment advisory firm P/E Capital Investment Management Partners has settled charges from the U.S. Securities and Exchang...

CSA
CSA INVITES STAKEHOLDERS TO PARTICIPATE IN TOKENIZATION INITIATIVE
April 01, 2026

The Canadian Securities Administrators (CSA) has launched an initiative to examine the potential for tokenized financial products...

FINRA
FINRA LAUNCHES FINANCIAL INTELLIGENCE FUSION CENTER TO COMBAT CYBERSECURITY AND FRAUD THREATS
April 01, 2026

FINRA announced the launch of the Financial Intelligence Fusion Center (FIFC), a secure portal for FINRA and its member firms to ...

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