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OSC INVESTOR WARNINGS AND ALERTS FOR JUNE 30 - JULY 21, 2026

The Ontario Securities Commission (OSC) is warning Ontario investors that the following companies are not registered to deal or advise in securities in Ontario: Quantoria Markets (aka Quantoria Marke...

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BCSC
FORMER CEO RESTRICTED FROM INVESTMENT MARKET AND PAYS BCSC $121,403 FOR PROHIBITED TRADING
July 22, 2026

A former CEO of a publicly traded company has paid the BC Securities Commission (BCSC) a total of $121,403 for selling nearly a m...

CFFIM
CFFIM: ONTARIO"S DECISION TO JOIN THE PASSPORT SYSTEM: MEANINGFUL CHANGE OR BUSINESS AS USUAL?
July 22, 2026

On July 15, 2026, the Government of Ontario announced its intention to join the Canadian Securities Administrators (CSA) Passport...

FINRA
STRENGTHENING EXAM PROGRAM THROUGH INNOVATION AND TRANSPARENCY
July 22, 2026

As the frontline regulator for broker-dealers, FINRA oversees member firms for compliance with federal securities laws and FINRA ...

Investment Executive
SEC SANCTIONS CANNABIS COMPANY, EXECS
July 21, 2026

U.S. securities regulators secured over US$40 million in disgorgement and penalties against a group of cannabis companies and exe...

Investment Executive
EX-REP"S LAWSUIT AGAINST ESTABLISHMENT TOSSED
July 21, 2026

A former advisor who was embroiled in litigation with his former firm that expanded into sweeping claims against the big banks, v...

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