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CIRO SANCTIONS FORMER RBC DOMINION SECURITIES REP FROM ONTARIO

CIRO sanctioned Matthew Philip Ewing (Ewing), a former Registered Representative from Dominion Securities Inc. and National Bank Financial in Ontario. CIRO found that Ewing engaged in conduct which f...

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OSC
FUNDS RECOVERED UNDER SETTLEMENT AGREEMENT WITH DAVID CARTU
January 16, 2026

Investors may be eligible to file a claim with respect to $300,000 recovered from David Cartu, carrying on business as UKTVM Ltd....

OSC
OSC STAFF NOTICE 11-742 (REVISED) - SECURITIES ADVISORY COMMITTEE
January 16, 2026

In a Notice published in the OSC Bulletin on November 6, 2025, the Commission invited applications for positions on the Securitie...

Investment Executive
BCSC ADDS TO EX-REP"S CIRO SANCTIONS
January 16, 2026

A former mutual fund rep who was disciplined by the Canadian Investment Regulatory Organization (CIRO) in 2024 has now also been ...

Investment Executive
CLINICAL TRIAL RESULTS DROVE INSIDER TRADING: SEC
January 16, 2026

A biostatistician working for a U.S. pharmaceutical company used information about positive results in a cancer drug trial to eng...

CIRO
CIRO UPDATE REGARDING UNAUTHORIZED ACCESS TO SOME CANADIAN INVESTORS" DATA
January 15, 2026

The Canadian Investment Regulatory Organization (CIRO) confirms that as a result of a sophisticated phishing attack, first disclo...

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