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CIRO SANCTIONS FORMER BMO INVESTMENTS INC. REP FROM TORONTO, ON

CIRO sanctioned Tanziba Tahsin (Tahsin), a former Dealing Representative with BMO Investments Inc. from Toronto, Ontario. CIRO found that Tahsin misappropriated client funds. The following sanctions ...

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CIRO
CIRO SANCTIONS FORMER BMO INVESTMENTS INC. REP FROM TORONTO, ON
August 06, 2026

CIRO sanctioned Tanziba Tahsin (Tahsin), a former Dealing Representative with BMO Investments Inc. from Toronto, Ontario. CIRO fo...

CIRO
CIRO ALLEGES OFF-BOOK TRANSACTIONS BY RESEARCH CAPITAL CORP REP FROM CALGARY, AB
August 06, 2026

CIRO has scheduled a disciplinary hearing for Tumer Salih Bahcheli (Bahcheli), dealing representative with Research Capital Corp....

CSA
INVESTOR ALERT: FRAUDSTERS IMPERSONATE UNION BANCAIRE PRIVEE, UBP SA TO TARGET CANADIAN INVESTORS
August 05, 2026

The Canadian Securities Administrators (CSA) is warning Canadians about an ongoing investment fraud involving the impersonation o...

ASC
CALGARY RESIDENT SETTLES WITH ASC FOR INSIDER TRADING
August 05, 2026

The Alberta Securities Commission (ASC) has concluded a Settlement Agreement and Undertaking with Calgary resident Colton Kenneth...

FINRA
FINRA FINES UBS FINANCIAL $20 MILLION FOR ANTI-MONEY LAUNDERING VIOLATIONS
August 05, 2026

FINRA has fined UBS Financial Services Inc. (UBS Financial) $20 million for anti-money laundering (AML) violations. FINRA found t...

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